Executive Vice President, Head of Advisory & Brokerage, Banking & Lending, & Product Legal

Executive Vice President, Head of Advisory & Brokerage, Banking & Lending, & Product Legal

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 an EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal to serve as the firm's lead attorney in the development of legal strategy and the management of legal and regulatory issues across its various financial services platforms. The successful candidate will be responsible for providing strategic leadership and risk management for the company's core businesses, including brokerage and advisory, banking and lending, and product legal matters. This role requires a deep understanding of the legal standards and regulatory frameworks applicable to retail financial services, as well as the ability to lead a diverse team of attorneys and legal staff in a client-centric, transformation-minded approach. Applicants must have a JD and an undergraduate degree from accredited institutions, with a state bar membership in good standing, and at least 15 years of experience as an attorney in the financial services sector. The role demands a leader with a strong background in SEC and FINRA rules and regulations, banking and lending legal frameworks, and the legal and regulatory considerations associated with financial product development and management. The EVP will be expected to bring innovation to the legal function, leverage data for actionable insights, and ensure the team is aligned with the business units' goals. Excellent communication skills, strong judgment, and the ability to explain complex legal terms in plain English are essential. The position also requires a proven track record in leading high-performing, solutions-oriented teams and a focus on client-centered lawyering.

Functions

• Legal