Are you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Do you want to work with cutting-edge technology? If so, LPL Financial is the place for you!
Job Overview:
LPL Financial is seeking an experienced and energetic Attorney to join our Litigation and Arbitration team. This position will be responsible for providing a broad range of in-house legal services and advice, with a primary focus on defending the firm and its Financial Professionals in FINRA arbitrations and litigation matters. This position will also manage a docket of cases handled by outside counsel.
Responsibilities:
- Defend litigation and arbitration matters brought against the firm and its Financial Professionals. Evaluate legal and regulatory risk and exposure, draft pleadings, argue motions, manage discovery, and handle settlement negotiations and/or the trial or arbitration hearing.
- Interpret and apply legal and regulatory guidance to defense of cases. Requires superior judgment and aptitude for reading and interpreting relevant legal precedents, statutes, and industry regulations.
- Report and log all relevant case-related data into the company’s case tracking system on a timely, accurate, and consistent basis.
- Adapt quickly to dynamic environments and independently manage multiple litigation and arbitration caseload assignments and deadlines.
- Advise our internal business partners about risk areas and provide legal guidance regarding firm policies and procedures.
- Monitor insurance status of claims and participate in claims meetings and negotiations where applicable.
- Handle internal and external client and outside counsel contacts in a timely, professional, courteous, and confidential manner.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment , are client-focused, team-oriented, and are able to execute in a way that encourages creativity and continuous improvement .
Requirements:
- Juris Doctorate degree from an ABA-accredited law school.
- Licensed member in good standing of the state bar in which you are located while working for LPL.
- At least 7 years of arbitration/litigation experience, preferably serving the financial services industry.
Core Competencies:
- Clear, effective, and efficient communication abilities, including in-person and video presentations, and excellent writing skills.
- Strong strategic, tactical, organizational, and dispute resolution negotiation skills.
- Proficient computer knowledge in Microsoft Office suite applications.
- Ability to travel and work on legal proceedings as needed.
Preferences:
- Strong knowledge of the FINRA Dispute Resolution Code of Arbitration Procedure.
- A working familiarity of how federal and state securities laws can affect arbitrations and litigation.
- A working knowledge and experience with investment products and services.
Pay Range:
$173,600-$260,400/year
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. 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.
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 @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.
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