LPL Financial

LPL Financial is searching for a Vice President, Assistant General Counsel to join our legal team, working out of Boston, MA, Fort Mill, SC, San Diego, CA, Austin, TX or Kansas City, KS.. Draft, review and revise agreements with alternative investments sponsors for the onboarding of products onto LPL’s alternative investments platform.. Juris Doctor degree (barred in your state of practice) with 5 to 8 years of experience working with alternatives investments at a law firm, asset manager or broker-dealer.. Experience with fund formation and drafting offering documents for alternative investments.. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.

assistant general counsel

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you! Excited to learn more? If so, then this could be the role for you! LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 20,000 financial advisors, 1,000 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. Job Overview: LPL Financial is searching for a Vice President, Assistant General Counsel to join our legal team, working out of Boston, MA, Fort Mill, SC, San Diego, CA, Austin, TX or Kansas City, KS. Your primary responsibility will be contracting for the firm’s alternative investment offerings, including hedge funds, private credit funds, private equity funds, REITs, qualified opportunity zone funds, and other alternative offerings. You will be joining an experienced, knowledgeable and collegial team of attorneys who work closely across the firm’s business groups, including our products team, compliance and operations. Responsibilities: Draft, review and revise agreements with alternative investments sponsors for the onboarding of products onto LPL’s alternative investments platform.
Act as a primary legal contact for the firm’s alternative investment initiatives.
Provide legal analysis with respect to securities regulations in a transactional context.
Provide general support for LPL’s alternative investments platform and vendor relationships.
Ensure that all contracting processes are adhered to and the firm’s contracting standards are maintained, including those relating to risk allocation and data security. Core Competencies: Juris Doctor degree (barred in your state of practice) with 5 to 8 years of experience working with alternatives investments at a law firm, asset manager or broker-dealer.
Direct experience negotiating contracts in support of alternative investment offerings.
Extensive experience advising on issues related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, Exchange Act of 1934 and FINRA rules.
The ability to identify issues and make reasoned, commercial decisions autonomously in a fast-paced environment.
The ability to close projects on deadline. Preferences: Experience with fund formation and drafting offering documents for alternative investments.
Experience negotiating commercial contracts. Pay Range: $174,640-$261,960/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential. We are one team on one mission. We take care of our advisors, so they can take care of their clients. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work. Want to hear from our employees on what it’s like to work at LPL? Watch this! We take social responsibility seriously. Learn more here Want to see info on our benefits? Learn more here Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lp lfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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