At LPL Financial we are currently looking for a Vice President, Associate General Counsel to join our Special Investigations Unit (SIU), which is situated within LPL’s Legal Department.
The position will be located in San Diego, California. SIU works closely with the firm’s Regulatory, Litigation and Whistleblower groups. The unit investigates matters involving potentially significant misconduct by financial advisors and employees, proactively identifies potential areas of exposure within the company, and provides advice to senior management and appropriate firm committees.
The successful candidate will have a deep understanding of broker dealer regulations and be responsible for conducting and coordinating investigations, providing investigative findings to the appropriate parties and leading a team of investigators and analysts. Additional responsibilities include conducting presentations, interfacing with regulators, law enforcement officials, and other LPL departments.
Key Responsibilities Include:
Conduct, coordinate, and supervise significant internal investigations
Provide leadership to address key strategic initiatives and opportunities, working in collaboration with multiple functions and business channels.
Act as a liaison with other LPL departments and coordinate investigative efforts with other units
Identify and recommend proactive fraud reduction measures to SIU management
Advancing and overseeing productivity and efficiency initiatives within the team
Reporting metric evaluations to oversight committees
Providing training to other LPL departments as needed
The successful candidate will have substantial (10 years +) hands-on experience in a Special Investigations Unit (or equivalent) at a financial services firm, a federal or state law enforcement agency, a law firm, or industry regulator or equivalent, prosecuting or investigating matters involving fraud, theft, schemes to defraud, etc.
Deep understanding of the financial services regulatory framework, the rules and regulations particular to broker dealers
Juris Doctorate degree required
Licensed member of the bar of any state in good standing
Excellent oral communication skills, including substantial experience in conducting interviews
Superior writing and analytical skills
Strong skills in MS Office; Excel, Access, Outlook, Word, PowerPoint, etc.
Ability to travel as needed
Series 7 and/or Series 24 a plus