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Job ID: R-006898 Date posted: 06/27/2019 Primary Location SC-Fort Mill Other Locations MA-Boston

LPL Financial is seeking a Paralegal to support our Early Dispute Resolution Group with general paralegal and administrative duties.  The Early Dispute Resolution Group (“EDR”), is a part of LPL’s Compliance, Legal and Risk (CLR) organization. The successful candidate will work collaboratively with others in a team-oriented, fast-paced environment.  The Paralegal will be responsible for providing day-to-day paralegal support to attorneys in EDR located in Boston, Fort Mill, SC or San Diego CA. as they address customer complaints and ensure timely required regulatory reporting. 

Specific responsibilities include:

  • Support attorneys charged with responding to customer complaints and inquiries including tracking, facilitating required regulatory filings, ordering documents and routine handling from receipt through response and closure
  • Input and track all critical and procedurally important dates In Passport to ensure timely regulatory reporting
  • Coordinate with other departments or business units in requesting information related to specific matters and follow-up on responses.
  • Ensure  that relevant documents critical to the resolution of  matters are obtained and tracked, perform substantive document review
  • Correspond with advisors and clients as it relates to inquiries, questions or other specific concerns
  • Prepare reports on matters as requested by attorneys; review matters and timely drafting preliminary responses or closing memoranda
  • Assist attorneys with administrative duties file creation, organization and maintenance, research, document productions, indexing documents produced and received, etc
  • Actively participate in department projects and initiatives and complete other duties as assigned


  • 3 to 5 years paralegal experience supporting litigation attorney at a law firm or in-house (legal or compliance department is an advantage)
  • Self- starter with solid judgement, proactive, must be able to set priorities, plan, organize and accomplish tasks, often within strict time limitations
  • Excellent time management, organizational, writing and communication skills
  • Ability to work independently and effectively to meet deadlines, including the ability to effectively assess, prioritize and manage shifting responsibilities
  • Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems.  Experience with legal technology a plus
  • Ability to interact and communicate across all business lines, and with internal and external customers
  • Paralegal or comparable certification preferred, but not required

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Legal, Boston, Massachusetts, United StatesRemove
  • Legal, Fort Mill, South Carolina, United StatesRemove