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Financial Law Regulatory Compliance Specialist

VP & Associate General Counsel, Brokerage Compliance

Job in Fort Mill, York County, South Carolina, 29715, USA
Listing for: LPL Financial
Full Time position
Listed on 2026-02-01
Job specializations:
  • Law/Legal
    Financial Law, Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 150000 - 200000 USD Yearly USD 150000.00 200000.00 YEAR
Job Description & How to Apply Below
A leading financial services company is seeking a Vice President, Associate General Counsel to provide strategic legal advice for its brokerage and investment advisory units. Ideal candidates will have over 5 years of experience with securities laws, strong legal writing skills, and the ability to work autonomously. This role involves drafting legal agreements, providing compliance advice, and collaborating on mergers and acquisitions.

Competitive salary and benefits package are offered, including 401(k) matching and health benefits.
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Position Requirements
10+ Years work experience
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