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Multiple Locations

LPL Financial

VP, Associate Counsel

The Vice President, Assistant General Counsel in the firm’s Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints, including both sales practice and operational complaints, collaborating on regulatory inquiries and resolving customer complaints before they escalate, and defending the firm and its advisors prior to litigation. Responsibilities also include rendering legal advice and counsel to the company and business units while working to achieve equitable resolution of claims.

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