VP, Assistant General Counsel—Regulatory Examinations
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LPL Financial LLC is seeking an experienced attorney to join its Regulatory Examinations & Inquiries team as Vice President, Assistant General Counsel. The role focuses on managing regulatory examinations and inquiries with regulators including FINRA and the SEC, while collaborating across Legal, Compliance, Supervision, and business leadership to mitigate risk.
The candidate should bring 6+ years of securities regulatory experience, excellent analytical and negotiation skills, and the ability
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