EVP, Head of Advisory & Brokerage, Banking & Lending, Product Legal

LPL Financial

. Develop the legal strategy and oversee legal and regulatory issues related to LPL’s brokerage and advisory platforms, banking and lending offerings, institutions, retirement, strategy, and products .

Posted 10/8/2026full-timeNew York City • New York • United StatesLead💰 $311,250 - $518,750 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates extensive experience in legal strategy and regulatory compliance within financial services, with a strong focus on brokerage, advisory, banking, and lending. Proven ability to lead diverse teams, provide strategic insights, and communicate complex legal concepts effectively.

Highest-signal resume keywords

15+ Years' Experience As An AttorneyLegal Standards And Regulatory FrameworksBrokerage And Advisory RequirementsJD And State Bar MembershipTeam Leadership And Development

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Legal Strategy DevelopmentRegulatory ComplianceFinancial Product DevelopmentRisk ManagementAdvisory And Brokerage Legal MattersBanking And Lending Legal FrameworksSEC And FINRA RegulationsData AnalysisProcess InnovationClient-Centered Lawyering

Soft Skills

Excellent Writing SkillsOral Communication SkillsStrong JudgmentBusiness AcumenPublic Speaking

Tools & Technologies

Tech-Enabled Legal Applications

Certifications & Qualifications

JDState Bar Membership

Industry Keywords

Financial ServicesBrokerageAdvisoryBankingLendingComplianceRiskSupervisionRegulatory OversightClient Partnership

About the role

Key responsibilities & impact

Develop the legal strategy and oversee legal and regulatory issues related to LPL’s brokerage and advisory platforms, banking and lending offerings, institutions, retirement, strategy, and products
Provide senior management and cross-functional partners with strategic leadership, insights, and risk management
Lead and inspire a diverse team of attorneys and legal staff
Build, manage, and develop team talent with a focus on client-centered lawyering and partnership with the business
Collaborate with Legal and Government Relations to integrate insights and inform advice and advocacy
Oversee advice provided to cross-functional partners, including Compliance, Risk, and Supervision
Partner with the Regulatory Team on strategy for engaging regulatory oversight bodies
Leverage data and industry developments to provide actionable insights
Reimagine processes and develop innovative approaches to legal advice and strategy
Facilitate a tech-enabled department through relevant applications and processes
Ensure alignment with business-unit goals and OKRs

Requirements

What you’ll need

15+ years’ experience as an attorney advising a financial services firm or serving financial services clients
Meaningful experience across advisory and brokerage, banking and lending, and product legal matters
Experience leading high performing and solutions-oriented teams
Strong working knowledge of legal standards and regulatory frameworks applicable to retail financial services
Deep familiarity with brokerage and advisory requirements, SEC and FINRA rules and regulations, banking and lending legal frameworks, and financial product development and management
JD and an undergraduate degree from accredited institutions of higher education
State bar membership in good standing
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

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Competitive LPL Total Rewards package