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Spotlight: Brian Soja

Senior Vice President, Associate General Counsel, Regulatory Exams & Inquiries
LPL Financial

Q1: Please tell us about your current role and how you got to where you are today.

A1: For the past four and a half years, I worked on the Regulatory Exams and Inquiries (REI) team within the Legal Department of LPL Financial, an independent broker-dealer that provides investment, technology, and compliance support, among other services, to over 21,000 financial advisors across the country, including advisors at approximately 1,100 bank and credit union-based ...

Cabell Clay

Senior Vice President | Associate General Counsel
Corporate Legal | Compliance, Legal & Risk (CLR)
LPL Financial
Pronouns: she/her/hers

Please tell us about your current role and how you got to where you are today.   
I am currently Senior Vice President, Associate General Counsel, Head of Employment Law for LPL Financial, a leading provider of investment and business solutions for financial advisors across the nation. My team and I partner with human capital and business leaders to protect the Company by ensuring compliance with various federal, state ...

I oversee several key monitoring and testing programs in LPL’s Compliance function, including our Compliance Risk Assessment, Compliance Testing Program, the Surveillance Department, and a compliance strategy and projects function. If these functions do not mean a lot to you (and they would have meant very little to me when I was practicing law), you should feel free to reach out to me learn more. Each of these are standard compliance programs in financial services companies, and may provide valuable inputs to defending financial institutions from liability or helping to evaluate the effectiveness of the processes the institution currently has in place to manage its regulatory obligations.


Jonathan Prytherch

Question: What makes an in-house counsel successful?
The importance of establishing trusted relationships with key business and compliance partners are very important. Many times, working with those partners on a specific project and taking the time to get to know not only their line of business, but also their hobbies and interests, will cement the way to an internal network of people that you can rely on in a pinch down the road. For instance, when you need information or an understanding of a business or compliance process for a regulatory ...

On January 15, MVA had the opportunity to virtually welcome outstanding first-year law students from across the country as part of the firm’s third annual Diversity Conference. Student attendees were selected through a competitive application process and participated in various networking opportunities, interactive panels, and presentations from MVA attorneys, clients and other leaders in the legal profession during the one-day seminar. We are grateful to have connected with such an inspiring group of future lawyers and we look forward to supporting their continued success.

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