Vice President, Wealth Management Alternative Investments Attorney
Confidential
Vice President, Wealth Management Alternative Investments Attorney
About the Company
Profitable broker & financial advisory firm
Industry
Financial Services
Type
Public Company
Founded
1989
Employees
5001-10,000
Categories
- Financial Services
- Consulting & Professional Services
- Brokerage
- Finance
- Investment Banking
- San Diego
- Employee Advisor
- Financial Advisor
- Financial Professional
- LPL
- LPL Financial
- Linsco Advisor
- Linsco Private Ledger
- RIA
- Registered Investment Advisor
- Strategic Wealth Services
- Strategic Wealth Services Advisor
- Investing
- Financial Advisers
Specialties
- independent broker/dealer
- institution services
- ria
- independent advisors
- custom clearing services
- and financial services
Business Classifications
- B2B
About the Role
The Company is seeking a Vice President, Assistant General Counsel with a focus on alternative investments, complex products, and digital assets. The successful candidate will be responsible for providing strategic legal advice and day-to-day legal support for the company's alternative investments platform. This includes counseling on due diligence standards, sales practices, and controls, as well as drafting and revising agreements with alternative investment sponsors. The role also involves interacting with various internal teams, such as compliance, supervision, surveillance, product due diligence, onboarding, research, and risk management. The ideal candidate should have a strong background in federal, state, and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense, with a specific focus on the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules and regulations. Applicants for this role at the company should have a minimum of 6 years of experience in the financial services industry, particularly in the broker-dealer and retail investment advisory business. Proficiency in legal writing, research, and communication is essential, as is a working knowledge of federal securities laws and the regulatory landscape applicable to broker-dealers and registered investment advisers. The role requires the ability to manage a substantial docket autonomously, a strong understanding of alternative investments, and an interest or experience in artificial intelligence utilization. The candidate should be a highly motivated self-starter, with the ability to work both independently and as part of a team, and possess excellent analytical, problem-solving, and interpersonal skills.
Hiring Manager Title
Senior Vice President
Functions
- Legal
$168.61k - $281.09k
...seeks an experienced attorney to join its... ...legal advice team as Vice President, Assistant General Counsel... ...controls related to Alternative Investments, Complex Products and... ...Research; and (5) Risk Management. The position will... ...the fastest growing wealth management firms in...SuggestedFull timeWork from home- LPL Financial is seeking an experienced Vice President, Assistant General Counsel to join its corporate legal advice team in New... ...guidance on onboarding, due diligence, sales and controls for alternative investments, complex products, and digital assets within the broker-...Suggested
$136.99k - $228.25k
...Overview:The VP, Institutional Leader (Wealth Advisors Group) will lead the Institutional... ...coaching and developing CIS sales managers and relationship managers, engaging Institutional... ...succession planning.Supervise sales, investment and relationship-deepening activities to...SuggestedFull timeWork from home- LPL Financial Holdings Inc. is seeking a strategic leader to execute the outsourced wealth solution strategy for financial institutions, including credit unions. You will drive policy, process, and product enhancements in collaboration with cross-functional leaders to...Suggested
- ...seventeen production facilities across North America and continually invest in our manufacturing capabilities to better serve our customers... ...seeking a talented Treasurer. The Treasurer is responsible for managing the company's liquidity, banking relationships, debt...SuggestedTemporary workWorldwide
MacLean Power Systems
Fort Mill, York County, SC5 days ago - ...LPL Financial is seeking a Vice President, Cybersecurity Attorney to lead the Legal Privacy team on cybersecurity matters, incident response, data protection... ..., and regulatory affairs across broker‑dealer and investment advisory operations. You will partner with...
$137.09k - $228.45k
...’s best practices, such as NIST AI Risk Management Framework, ISO AI standards as well as emerging... ...: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader... ...range of advisor affiliation models, investment solutions, fintech tools and practice...Full timeWork from home$240k - $290k
...looking leader to serve as Senior Vice President and Chief Privacy Officer (... ...organization effectively manages privacy and information-... ...a broker-dealer, registered investment advisor, bank, fintech, or other... ...among the fastest growing wealth management firms in the U.S....Work from home$145.44k - $242.36k
...help execute upon the firm’s outsourced wealth solution strategy in support of credit unions... ...LPL as the model of choice in Wealth Management. Responsibilities Execute upon the... ...credit union when prioritizing internal investment opportunities and company focus. Evaluate...LPL Financial
Fort Mill, York County, SC1 day ago$141.42k - $235.66k
...Transformation Office is seeking a Vice President of Mandatory Regulatory... ...Regulatory (ManReg) investment portfolio.This leader will be... ...accurate forecasting, budget management, and variance reporting.Govern... ...within Financial Services, Wealth Management, Banking, Brokerage...Work at officeWork from home$114.12k - $190.14k
...operational controls, reporting, and vendor management. Working closely with cross-functional... ...Requirements 7+ years of experience in wealth management, advisor platform operations,... ...range of advisor affiliation models, investment solutions, fintech tools and practice management...Work from home$150.79k - $251.32k
...seeking a strategic and collaborative leader with deep experience building and scaling investment operations within an institutional asset management, OCIO, investment consulting, or wealth management environment. The ideal candidate is a systems thinker who enjoys solving...Full timeWork from home$135k - $210k
...CURRENT US FOODS EMPLOYEE? PLEASE APPLY DIRECTLY THROUGH OUR INTERNAL WORKDAY CAREER SITEJoin Our Community of Food People!BASIC PURPOSE Manage all aspects of local sales to meet or exceed company goals for a Market’s sales and profitability. Build and develop local sales...Minimum wageFull timeTemporary workSeasonal workWork at officeLocal areaNight shift$121.54k - $202.5k
...you to apply today.Job OverviewThe Vice President, Workforce Management is a leader responsible for the execution... ...services, brokerage, banking, wealth management, or other highly... ...range of advisor affiliation models, investment solutions, fintech tools and practice...Full timeWork from home- ...Vice President, End-to-End Quality Engineering About the Company... ...Brokerage Finance Investment Banking San Diego Employee... ...Investment Advisor Strategic Wealth Services Strategic Wealth... ...pressure. Experience with test management and defect tracking tools,...
$141.42k - $235.66k
...Overview:The VP of Technology Portfolio Management is responsible for providing portfolio management... ...: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader... ...range of advisor affiliation models, investment solutions, fintech tools and practice...Full timeWork at officeWork from home$168.61k - $281.09k
...Financial is seeking an attorney to support our... ...recordkeeping business. The role, Vice President, Assistant General... ...of a broker‑dealer, investment advisor, custodian and... ...trusts, private funds, managed accounts and other... ...among the fastest growing wealth management firms in...Work from home$179.78k - $299.63k
...Senior Vice President Of Data & Ai Governance And ToolingLPL Financial (Nasdaq: LPLA) was founded... ...clearing and technology subscribers managing over USD 1.2 trillion in assets.At LPL,... ...and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are...Work from homeLPL Financial
Fort Mill, York County, SC5 days ago- ...Key Responsibilities: Own and prioritize the infrastructure product roadmap based on business and technical requirements. Manage GPU, compute, and platform capacity across cloud and on-prem environments. Partner with engineering teams supporting Kubernetes,...
Longfinch Technologies
Fort Mill, York County, SC2 days ago - A legal services provider in South Carolina is seeking a skilled Estate & Trust Administration Attorney for a mid-senior level role. The position involves overseeing estate and trust matters, mentoring a legal team, and maintaining client relationships. Qualified candidates...Relocation package
$163.9k - $273.1k
...operationalize Kong AI Gateway capabilitiesBuild and manage custom Kong plugins for:Enable... ...: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader... ...wide range of advisor affiliation models, investment solutions, fintech tools and practice...Full timeWork from home- LPL Financial Holdings Inc. is seeking a Vice President of Mandatory Regulatory Portfolio Governance to lead strategy, governance, and funding for a multi-million-dollar regulatory initiative portfolio. You will align senior leaders across Compliance, Risk, Legal, Product...
$168.61k - $281.09k
...seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel... ...support to the investment advisory business as well... ...business environment and can manage a substantial docket... ...the fastest growing wealth management firms in...Private practiceLPL Financial LLC
Fort Mill, York County, SC1 day ago$128.75k - $214.65k
...importantly our, employees. The Vice President, People Integration Partner... ...effectively, risks are managed, and employees are successfully... ...among the fastest growing wealth management firms in the U.S.... ...advisor affiliation models, investment solutions, fintech tools and...Work from home$145.44k - $242.36k
...roadmaps, key features/capabilities, and manage the development cycles with clear... ...strategy, and/or related teams 5+ years in the Wealth Management industry, with familiarity... ...develop and maintain a rolling, cross-domain investment roadmap 2+ years of working with...Work from home- ...Financial is seeking a senior leader to drive UMA and tax management offerings within its Wealth Management team in Fort Mill, SC. You will shape... ...Bachelor’s and CFA or MBA, with 15+ years of experience in investment advisory platforms, and deep knowledge of industry regulations...
- ...Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel.... ...ongoing controls related to Alternative Investments, Complex Products and... ...fast-paced environment, can manage a substantial docket autonomously...
$135.96k - $226.6k
...non-custody platforms, data feeds, APIs, investment and retirement products, and the... ...initiatives.Beyond traditional product management, this role requires strong operational leadership... ...working within Capital Markets, Wealth Management, Brokerage, Custody, Retirement...Full timeWork from home$135.96k - $226.6k
...Financial invites you to apply today. Job Overview The VP, Product Manager - Identity & Access Management (IAM) leads the strategy,... ...Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. LPL supports over 32,000 financial...$127.51k - $212.49k
....Job Overview:The IT Vendor Manager will serve as the primary relationship... ...technology vendors. This Vice President-level individual contributor... ...in financial services or wealth management... ...advisor affiliation models, investment solutions, fintech tools and...Full timeContract workWork from homeShift work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Vice President, Wealth Management Alternative Investments Attorney. Be the first to apply!
- vp customer success Fort Mill, York County, SC
- vice president development Fort Mill, York County, SC
- vice president real estate development Fort Mill, York County, SC
- vice president communications Fort Mill, York County, SC
- vice president manufacturing Fort Mill, York County, SC
- vp safety Fort Mill, York County, SC
- vp of benefits and total rewards Fort Mill, York County, SC
- vice president research Fort Mill, York County, SC
- vice president of retail Fort Mill, York County, SC
- vice president healthcare Fort Mill, York County, SC