VP, Investigative Counsel – Fort Mill

LPL Financial

The Vice President, Investigative Counsel will report to the Senior Vice President in charge of the Investigations Group. The position will be located at one of LPLs offices. The Investigations function is situated within LPLs Legal Department and works closely with the firms Regulatory, Litigation, Early Dispute Resolution and other LPL groups. The Investigations Group investigates matters involving potentially significant misconduct and/or firm policy violations by financial advisors and employees. The investigative group is responsible for proactively identifying potential areas of exposure within the company, and provides advice to senior management and stakeholders.

The successful candidate will have a deep understanding of broker dealer regulations and be responsible for helping the team coordinate investigations. The candidate will also be responsible for reviewing investigative findings which are provided to the appropriate parties and supervising a team of investigators and analysts. The candidate will also provide advice and counsel to investigators on investigative steps and the groups investigations. The candidate will also work cohesively with other partners/stakeholders for the purpose of coordinating with stakeholders on investigations for which there is regulatory review/interest; review and approve non-privileged summaries; and work with the team to identify risk areas, exposure and gaps. Additional responsibilities include collaborating with partners who interface with regulators, law enforcement officials, and other LPL departments. The candidate will also work with the team to track and provide investigations metrics related to the group.

Key Responsibilities Include:

  • Provide counsel to Investigators on investigations and investigative steps;
  • Reviews and prioritizes investigations and escalated matters; ensure all investigations are appropriately scoped and completed thoroughly
  • Advise team on investigations from a broker/dealer regulatory perspective;
  • Interface with regulatory on matters involving regulators and related work product
  • Act as a liaison with other LPL departments to engage appropriate internal and external parties and coordinate investigative efforts and the identification and reporting of significant issues as well as coordinate on regulatory matters
  • Identify and recommend proactive steps to identify areas of risk, exposure and gaps
  • Provide training to other LPL departments as needed


  • Juris Doctorate degree required, Licensed member of the bar of any state in good standing
  • The successful candidate will have substantial (10 years +) hands-on experience in an Investigations Unit (or equivalent) at a financial services firm, regulatory body, or a law enforcement agency, and experience investigating matters involving fraud, theft, schemes to defraud, etc.
  • Deep understanding of the financial services regulatory framework, the rules and regulations specific to broker dealers
  • 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.

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nations leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what its like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

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 lpl.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 (800) 877-7210.

To apply for this job please visit www.goinhouse.com.

More Jobs:

Leave a Comment