Vp, Associate Counsel

LPL Financial - Fort Mill, SC

VP, Associate Counsel

Responsibilities: Provide legal advice and support to business and compliance teams on issues related to sanctions, AML, anti-corruption laws and regulations promulgated by the Office of Foreign Assets Control (OFAC) / Treasury, USA PATRIOT Act, Bank Secrecy Act, U.S. Foreign Corrupt Practices Act (FCPA), etc. Assist, and work with outside counsel as necessary, in representing the Firm before regulatory authorities in matters related to sanctions, AML, and anti-corruption legal issues. Liaise and coordinate within the Compliance Legal and Risk department and with key stakeholders across the Firm, to ensure appropriate execution of the Firm’s enterprise-wide financial crimes prevention program. Advise on the development and implementations of suspicious activity review, assessments and SARs filings. Counsel on development of regulatory compliance policies and procedures with respect to new and existing securities laws, rules and regulations. Counsel various business development teams with respect to proper manners of achieving new business initiatives; recruiting financial advisors and their practices; acquiring brokerage firms and registered investment advisers; and development of new affiliation models.

65 days 14 hours ago

LPL Financial