SanDiegoRecruiter
the smart solution for San Diego jobs

SVP, Associate Counsel, Regulatory Enforcement

Company: LPL Financial
Location: San Diego
Posted on: January 15, 2019

Job Description:

At LPL Financial, we are currently looking for an SVP, Associate Counsel to join our Regulatory Inquiries & Strategy team, which sits within our Compliance, Legal, and Risk (CLR) function. The Regulatory Inquiries & Strategy staff is primarily responsible for managing enforcement and complex for-cause matters with federal, state securities regulators, and self-regulatory organizations (e.g., FINRA). In practice, this means serving as the principal point of contact in connection with enforcement and for cause investigations of the Firm and its associated persons. The successful candidate will manage Regulatory Inquiries & Strategy staff and handle high profile investigations with the support of one or more analysts under the attorney's supervision. On occasion, coordination and management of outside counsel is required. Additional responsibilities will include rendering related legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations. Essential Functions: Manage and defend regulatory enforcement matters involving the Firm and/or its associated persons. Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, communicate with regulators as to scope and content of productions and responses, and defend witnesses at testimony and during informal interviews. Manage Regulatory Inquiries & Strategy attorneys and analysts. Provide timely risk assessments and status updates of regulatory matters for executive management. Advise internal departments about risk areas and provide legal guidance regarding Firm procedures and regulatory requirements. Serve as the Legal Department's representative to standing and ad hoc Firm committees and task forces. Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications. Qualifications: Juris Doctor degree required Licensed member of the bar, in good standing, in the state in which the attorney is located Minimum of 10 years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator is highly desirable Proven as a strong advocate and solution oriented partner with the ability to collaborate and multi-task Clear communication and superior writing and analytical skills Ability to travel as needed About LPL Financial: LPL Financial is a leader in the retail financial advice market and the nation's largest independent broker/dealer. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego. Our Culture: If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships. Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Keywords: LPL Financial, San Diego , SVP, Associate Counsel, Regulatory Enforcement, Legal , San Diego, California

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Legal Jobs


AVP, Associate Counsel
Description: The Assistant Vice President, Associate General Counsel will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision (more...)
Company: LPL Financial
Location: San Diego
Posted on: 01/18/2019

Staff Attorney
Description: Staff Attorney ABOUT US:Snell Wilmer is one of the largest largest full-service business law firm in the West with attorneys based in Arizona, California, Utah, Colorado, and Nevada.The law firm promotes (more...)
Company: Snell & Wilmer
Location: Irvine
Posted on: 01/18/2019

Attorney's Assistant
Description: ABOUT US:Snell Wilmer is one of the largest largest full-service business law firm in the West with attorneys based in Arizona, California, Utah, Colorado, and Nevada.The law firm promotes a diverse (more...)
Company: Snell & Wilmer
Location: Irvine
Posted on: 01/16/2019


Credentialed Tax Professional - CPA Enrolled Agent or Attorney - Seaso
Description: Credentialed Tax Professional - CPA Enrolled Agent or Attorney - Seaso Overview Join Our Virtual Tax Network At Intuit, our mission is to power prosperity around the world. Tax experts support that mission (more...)
Company: Intuit
Location: Riverside
Posted on: 01/18/2019

Corporate Attorney
Description: Corporate Attorney ABOUT US:Snell Wilmer is one of the largest largest full-service business law firm in the West with attorneys based in Arizona, California, Utah, Colorado, and Nevada.The law firm (more...)
Company: Snell & Wilmer
Location: Irvine
Posted on: 01/16/2019

Contract Attorney
Description: Contract Attorney ABOUT US:Snell Wilmer is one of the largest largest full-service business law firm in the West with attorneys based in Arizona, California, Utah, Colorado, and Nevada.The law firm (more...)
Company: Snell & Wilmer
Location: Irvine
Posted on: 01/16/2019

Director, Compliance Counsel
Description: This position supports the compliance function and will be responsible for assisting in the development, execution and continuous improvement of the compliance program to ensure compliance with all applicable (more...)
Company: Heron Therapeutics
Location: San Diego
Posted on: 01/18/2019

Print Production Associate Legal
Description: Knowledge of the legal process 1-2 years relevant experience resolving customer and equipment printing issues EDUCATION: Minimum: High School diploma or equivalent Ability to demonstrate Network Connectivity (more...)
Company: Global Channel Management, Inc.
Location: Encinitas
Posted on: 01/18/2019

Intellectual Property Litigation Associate (LOS, SDO, SF, SV & NY)
Description: Jones Day has immediate openings in our Los Angeles, San Diego, San Francisco, Silicon Valley and New York offices for intellectual property litigation
Company: Jones Day
Location: San Diego
Posted on: 01/18/2019

Director, Corporate Counsel
Description: Provides legal expertise and counsel for all company contracts activities. Provides support to the Associate General Counsel with respect to company's business relationships and transactional matters, (more...)
Company: ACADIA Pharmaceuticals
Location: San Diego
Posted on: 01/18/2019

Log In or Create An Account

Get the latest California jobs by following @recnetCA on Twitter!

San Diego RSS job feeds