AVP, Associate Counsel

Job Description
The Assistant Vice President, Associate Counsel will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and General Counsel with preparation of projects and provision of legal advice in multiple areas of the company’s legal practice.



Research, analyze and provide advice on legal and regulatory issues relating to all areas of LPL’s business, including investment adviser, broker-dealer, retirement plan and new products matters.
?Assist with general contractual matters

o Work with various business units within the company to negotiate contracts with sponsors, vendors and other third parties, including license agreements, services agreement, sponsor distribution agreements, shareholder services agreements, trading agreements, and documentation required in connection with the investment of client assets.

o Draft contracts and related correspondence.

o Draft agreements, disclosure documents and other forms for use with retail clients and financial advisors
?Assist with merger and acquisition related transactions.
?Assist with internal investigation and legal analysis of compliance issues for investment adviser and broker-dealer.
?Assist with development of compliance policies related to new and changing regulations affecting the business.
Requirements:
?Must have Bachelors Degree, J.D., and be admitted to practice in MA.
?Minimum of three years corporate legal experience, preferably in a financial services complex, or comparable law firm experience working with corporate clients.
?Experience as attorney working with Investment Advisers Act of 1940, ERISA, and/or Securities Exchange Act of 1934 and rules and regulations of self-regulatory organizations preferred, along with basic corporate law principles.
?Knowledge of multiple products and asset types strongly preferred.
?Strong writing and organizational skills required.
?Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks.
?Basic word processing and data management skills required; preferred candidate will be familiar enough with computerized research and information management systems to work closely with outside and internal technology services vendors.
?Must be willing to travel on occasion as needed.
Auto req ID #1594BR

Company

LPL Financial Services

Job Code

State or Province

Massachusetts

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