VP & Assistant General Counsel - Brokerage & Compliance
LPL Financial
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This VP will report to a Senior Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on the needs of LPL’s broker-dealer business but also supports investment advisory services. The ideal candidate thrives in a fast-paced environment, can manage a substantial docket autonomously, and has #J-18808-Ljbffr LPL Financial
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the VP & Assistant General Counsel - Brokerage & Compliance in Fort Mill, York County, SC vacancy
$168.61k - $281.09k
...join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This VP will report to a Senior Vice President responsible... ...conversions and serving as a legal advisor to the business, compliance, operations and senior management to ensure...SuggestedPrivate practiceLPL Financial LLC
Fort Mill, York County, SC2 days ago- LPL Financial is seeking an experienced attorney to serve as Vice President, Assistant General Counsel, Brokerage, reporting to a Senior Vice President. The role centers on strategic legal advice for the broker-dealer, investment advisory businesses, and related platform...Suggested
$172.01k - $286.75k
...matters and will provide strategic legal counsel on incident response, cybersecurity... ...Information Security, Technology, Communications, Compliance, and executive leadership during cyber... ...approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately...SuggestedContract workWork from home- ...Regulatory Examinations & Inquiries team as Vice President, Assistant General Counsel. The role focuses on managing regulatory examinations and... ...FINRA and the SEC, while collaborating across Legal, Compliance, Supervision, and business leadership to mitigate risk....Suggested
- ...seeking an experienced Vice President, Assistant General Counsel to support our retirement and... ...pragmatic legal advice on advisory, brokerage, custodian and recordkeeping services... ...accounts, collaborating with operations, compliance, marketing and platform development....Suggested
- ...Regulatory Examinations & Inquiries team as Vice President, Assistant General Counsel. The role manages regulatory examinations and inquiries... ...high degree of autonomy and partners closely with Legal, Compliance, Supervision, and business leadership to address regulatory...
$168.61k - $281.09k
...legal advice team as Vice President, Assistant General Counsel. This VP will report to a Senior Vice... ...Alternative Investment Product (2) Compliance; (3) Supervision and Surveillance;... ...regulations and legal risks relating to the brokerage and investment advisory...Full timeWork from home$213.31k - $355.45k
Senior Vice President, Associate General Counsel This senior vice president will report to the... ...and regulatory strategy, advises Compliance, Supervision, Risk, Business Development... ...regulations, and legal risks impacting brokerage and investment advisory activities. Review...$240k - $290k
...Chief Privacy Officer (CPO) . Reporting directly to the LPL Chief Compliance Officer, this executive will be responsible for leading the... ..., servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans...Full timeWork from home- ...regulatory affairs across broker‑dealer and investment advisory operations. You will partner with Information Security, Technology, Compliance and Risk to provide strategic guidance, draft policies, and support regulatory examinations while translating complex tech...
- ...LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This role focuses on the broker-dealer and investment advisory businesses, advising across business development, corporate transactions...
$121.54k - $202.5k
...SVP, Capacity, Workforce Management & Operations Planning, the VP serves as the operational leader for workforce management execution... ...initiatives.Preferences:Experience in financial services, brokerage, banking, wealth management, or other highly regulated industries...Full timeWork from home$150.79k - $251.32k
...Leadership, Investment Risk, Quantitative Research, Technology, Compliance, and Operations, this role will drive operational excellence... ...institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million...Full timeWork from home$141.42k - $235.66k
...while helping clients pursue their financial goals.Job Overview:The VP of Technology Portfolio Management is responsible for providing... ..., servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans...Full timeWork at officeWork from home$114.12k - $190.14k
...controls, reporting, and vendor management. Working closely with cross-functional partners across Product, Service, Supervision, Compliance, Operations, Compensation, and Technology, the AVP will drive operational excellence while helping scale LAP from a pilot operating...$145.44k - $242.36k
...Job Overview LPL’s Business Solutions (LBS) team is seeking a VP Strategy who will join our team. LPL’s Business Solutions... ...institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans...Full timeWork from home$145.44k - $242.36k
...wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models,...- ...strategy, governance, and funding for a multi-million-dollar regulatory initiative portfolio. You will align senior leaders across Compliance, Risk, Legal, Product, Tech, and Operations to maximize risk reduction and regulatory obligation compliance. The role demands...
$135.96k - $226.6k
...Operations, Technology, Risk, Compliance, and Advisor Solutions,... ...stakeholder management skills. The VP will help define product... ...the work developed by team(s)Assist the Scrum Team with creating... ...Markets, Wealth Management, Brokerage, Custody, Retirement Services...Full timeWork from home$350k
...backed manufacturing company, on a search for an experienced General Counsel to help lead the organization through its next phase of... ...executive leadership team while building the legal, governance, and compliance infrastructure required of a future public company. The Role...Work at officeKorn Ferry
Fort Mill, York County, SC17 hours ago- ...Assistant Manager The Assistant Manager assists the Store manager in managing all day to day store operations, while ensuring that compliance exists with all established company policies and procedures. Provides leadership, guidance and training to the store staff...
$127.51k - $212.49k
..., escalate, and mitigate vendor risks, including operational, compliance, regulatory, cybersecurity, and third-party risk exposuresEnsure... ..., servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans...Full timeContract workWork from homeShift work$150.79k - $251.32k
...wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models,...Full timeWork from home$15.5 per hour
...guests as you are completing your daily tasks.When guests need assistance, engage with guests in a welcoming way, to help solve their... ....Scan and bag all guest items efficiently, accurately, and in compliance with food safety standards and company best practices.Work efficiently...Hourly payWork at officeLocal areaImmediate startFlexible hoursShift workNight shiftDay shiftTarget
Rock Hill, SC1 day ago- ...General Counsel About the Company Private equity-backed industrial manufacturer preparing for IPO and public-company governance.... ...will be responsible for building the legal, governance, and compliance infrastructure necessary for a future public company. This includes...
- ...Living in Rock Hill, South Carolina is seeking qualified candidates for a leadership role focused on quality assurance and regulatory compliance. The position involves ensuring resident engagement and supporting the sales team to meet occupancy goals while managing...
$137.09k - $228.45k
...apply today.Job Overview:The VP will oversee risk governance,... ...and evaluate risks and ensure compliance with internal policies and... ...frameworks and requirements.Assist in establishing and overseeing... ...approximately $2.3 trillion in brokerage and advisory assets on behalf...Full timeWork from home- ...training and engagement for store Outfitters and to support the General Manager with admin tasks. You will handle HR actions in HRIS/Payroll systems, coordinate training, monitor policy compliance, and assist with travel, invoicing and store supplies. Strong...
$145k - $225k
...Responsibilities Oversee estate and trust administration matters, ensuring compliance and high-quality service delivery. Lead and mentor paralegals... ...and maintain a supportive team atmosphere. Relocation Assistance if Licensed in SC! Seniority level Mid-Senior level Employment...Full timeRelocation packageRussell Tobin
Fort Mill, York County, SC1 day ago$141.42k - $235.66k
...wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models,...Full timeWork from home
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to VP & Assistant General Counsel - Brokerage & Compliance. Be the first to apply!
Related searches
- 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