VP, Assistant General Counsel

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

Under the direction of Senior Vice President, Associate General Counsel, the attorney in this position will provide pragmatic legal advice and counsel to human resources partners and other corporate departments with a particular focus on employment issues.

Responsibilities:

• Provide day-to-day counseling on employment matters to Human Resources partners.

• Advise Human Resources and business partners on employee relations matters such as terminations, restructurings, lay-offs, discipline, leaves of absence and accommodations as well as compliance with applicable federal and state employment statutes.

• Handle administrative matters at federal and state agencies such as the EEOC, or California DFEH or DLSE; oversee outside counsel handling employment litigation.

• Draft and advise on employment related documents such as offer letters, employment agreements, incentive compensation plans, transition assistance for financial advisors, retention agreements, separation agreements, and termination agreements.

• Remain informed and update Human Resources partners on legal, regulatory and other developments in the employment law arena; anticipate their potential impact on the company’s operations and strategy; and provide counsel to business and human resources to effectively manage these issues; draft and update human resources policies to comply with applicable laws and reflect legal developments.

• Draft and update Human Resources policies to comply with applicable laws and reflect legal developments.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• JD from a nationally recognized law school

• 6+ years of experience focused on employment law including in the financial services industry. Experience working for a large law firm.

Core Competencies:

• Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment

• Excellent written and oral communication skills

• Ability to interact well with business executives and provide pragmatic advice that balances business needs and legal risk

Preferences:

• Prior in-house experience is preferred, not required

 

Pay Range:

$168,611.00 - $281,087.00

 

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!

 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the 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, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

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 @lplfinancial.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.

EAC 5.19.26