Wednesday, November 12, 2014

New Job - Boston, MA or San Diego, CA

LPL Financial
Vice President Associate Counsel Regulatory Affairs - Boston, MA or San Diego, CA

The Regulatory Affairs staff is primarily responsible for managing the Firm’s interactions with federal and state securities regulators as well as self-regulatory organizations (e.g., FINRA). In practice, this means serving as the principal point of contact in connection with regulatory examinations and investigations of the Firm and its associated persons. In addition, the Regulatory Affairs staff provides counseling to Firm business units in matters implicating SEC, FINRA, other SRO and individual state rules. This counseling is provided on both an ad hoc basis and through the participation of staff members in various Firm committees and task forces.

The successful candidate will manage a variety of regulatory examinations and investigations with the support of one or more Regulatory Affairs analysts under the attorney’s supervision; On occasion, coordination and management of outside counsel is required. Additional responsibilities will include rendering legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations. This position may be based out of our Boston or San Diego office.

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