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Legal Support Associate

Job ID: R-009128 Date posted: 03/24/2020 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

Discover your opportunity with LPL Financial, a leader in the retail financial advice market and the nation’s largest independent broker/dealer with over 15,000 financial advisors and over 4000 corporate employees where we respect and appreciate the diversity of our employees, our clients, and the communities we serve.

Joining our team as a Legal Support Associate will allow you to support the legal department by providing legal intake/case preparation to the Litigation, Regulatory, Contracts and Advice areas along with legal operations project work.  Our legal team’s main priority is to provide legal support to the firm along with our financial advisors in order to mitigate risk to the firm along with being industry thought leaders.  Being flexible and adaptable to competing priorities will be key success factors for this position.

What you’ll do

These items can range from a regulatory request to a customer complaint that will require analysis to a request for legal advice.  However, your duty remains the same, review and analysis the request, research to obtain the information needed and update our internal systems with the necessary information.  All while maintaining a high quality of work and reviewing for additional complexities.  As the team is the first point of contact around the firm for the legal department, exceptional service and professionalism is required.  Occasional legal operations work, including process design projects and training team members.

The Expertise Were Looking For

  • Bachelors preferred
  • 2-5 years of professional work experience; customer facing experience a plus
  • Ability to interpret and communicate legal subject matter in clear and simple terms.

The Skills You Need

  • You possess the ability to prioritize when pressured with multiple tasks
  • Exceptional analytical skills. 
  • Ability to work well individually and as part of team
  • Solid problem-solving skills

The Success You Deliver

  • Exercise judgement, spot issues before they happen and solve problems using data and logic.
  • Initiative in identifying potential areas of improvement across the department. 
  • Partnering with team members to achieve outstanding results as you are continuously growing and learning to enhance your expertise

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

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