Vp Associate Counsel Investigations

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VP, Associate Counsel Investigations
The candidate is responsible for investigating matters involving potential fraud and/or misconduct by the Firm’s associated persons, employees, contractors and vendors, as well activities, business practices or misconduct that involves violations of firm policies, procedures, or processes. Evaluate legal, financial, regulatory and reputational risk in investigative referrals and escalate to senior management as needed; act as a liaison with other LPL departments to coordinate investigative efforts. Manage a team of investigators and provide guidance and counsel on the team’s investigations; conduct, coordinate, and supervise significant internal investigations. Identify, advance and oversee productivity and efficiency initiatives within the group. Provide leadership to address key strategic initiatives and opportunities, working in collaboration with multiple functions and business channels. Should have a Juris Doctor degree required, with admission in good standing to a State Bar. Should have 7+ years’ experience in-house at a broker/dealer, securities-related regulatory entity, law enforcement agency, or a law firm, with significant exposure to investigation practices and procedures involving misappropriation, theft, fraud, etc. Deep understanding of the financial services regulatory framework and the rules and regulations particular to broker dealers and investment advisors are needed. Excellent oral and written communication skills, including substantial experience in conducting interviews. Should possess superior judgment and aptitude for evaluating investigative referrals in a timely and substantive manner with strong interpersonal skills and an ability to interact with senior business and compliance partners across the firm.

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