Skip Navigation
Search Our Jobs

Search Our Jobs

Click Here to View All Available Opportunities at LPL Financial

Legal Support Associate

Job ID: R-004518 Date posted: 10/04/2018 Primary Location SC-Fort Mill

We are currently looking to hire a Legal Support Associate within the Regulatory Inquiries & Strategy Team (“RIS”), which is a part of LPL’s Compliance, Legal and Risk (“CLR”) organization. This regulatory position involves a focus on supporting regulatory processes and providing legal administrative support to the RIS Team.

Essential Functions:

  • Provide matter management support to RIS attorney and analysts  
  • Stand as SME of Passport legal matter management system for RIS
  • Assist in producing high priority case docket, decks, and metrics to CLR Executive Management
  • Assist in maintaining the RIS knowledge repository for current policies and procedures, firm compliance manuals, templates, and other material regulatory resources
  • Assist in creating and improving RIS policies and procedures to create efficiencies and align with CLR partners; coordinate with RIS team on an ongoing basis to maintain accuracy
  • Research, analyze, gather documents and information to assist in responding to Regulators


  • Bachelor's degree in a related field preferred
  • 2+ years of legal and/or regulatory experience preferred
  • Strong MS Office skills including Word, Excel, PowerPoint and Outlook
  • Ability to quickly learn new systems and navigate multiple simultaneously  
  • Exceptional oral and written communication skills and the ability to independently draft letters, policies, and other documents
  • Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects
  • Ability to work independently

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.

Sign Up for Email Alerts!

Areas of InterestStay up-to-date about the latest opportunities at LPL Financial! Choose at least one category and/or location from the auto-suggestions and click 'Add' to subscribe.