Head of Advisory and Commercial Legal
Head of Advisory, Brokerage and Commercial Transactions Legal
The Head of Advisory, Brokerage and Commercial Transactions Legal will develop the legal strategy and oversee the management of the legal and regulatory requirements related to LPL’s brokerage and advisory platform, business development initiatives and commercial transactions.
Your role will combine legal leadership, strategic acumen, and deep understanding of working with your business partners to drive positive outcomes.
You will be expected to leverage best practices in providing legal support, digital capabilities, tools, technologies and techniques to enable us to extend a customer care approach to the Legal functions that will meet our advisors and business partners where they are by reimagining how they engage and what it means to be supported by Legal.
Responsibilities :
- Provide senior management and cross functional partners with strategic leadership, insights and risk management regarding LPL’s brokerage and advisory platform, business development initiatives, and commercial transactions
- Lead and inspire a best-in-class, diverse team of attorneys and legal staff in effectively and efficiently managing the brokerage and advisory related matters, business development initiatives and commercial transactions impacting the firm
- Actively build, manage and develop the talent on your team, with a focus on organizational efficiency and professional development
- Collaborate closely with colleagues in Legal and Government Relations to better integrate insights, create feedback loops and inform advice and advocacy
- Oversee a team that advises cross functional partners across the firm on meeting requirements of new and existing rules and regulations and provide legal analysis to inform decisions
- Partner with the Regulatory Team to set the strategy for engaging with the firm’s regulatory oversight bodies
- Leverage data, as well as industry developments, to provide key and actionable insights to business partners across the firm
- Bring innovation to reimagine old processes and develop new ways to delight clients and partners while providing valued legal advice and strategy
- Ensure the team understands and is supporting the business units’ goals and OKRs
Qualifications And Experience
- Substantial experience as an attorney, including in a Litigation or Regulatory group at a financial services firm or law firm serving financial services clients
- Experience leading high performing and solutions oriented teams
- Exceptional leadership and talent development skills
- Strong working knowledge of the legal standards and regulatory schemes that apply to retail financial services (Broker-dealer experience and / or RIA experience preferred)
- Deep familiarity with brokerage and advisory, SEC and FINRA rules and regulations
- JD and an undergraduate degree from accredited institutions of higher education as well as a state bar membership in good standing are required
Skills
- Excellent writing and oral communication skills, experience with formal presentations and public speaking
- Strong judgment and business acumen
- Ability to explain complex legal terms in plain English
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