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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Legal Support Specialist

Job ID: R-011923 Date posted: 11/18/2020 Primary Location SC-Fort Mill

Have you been looking to transition into or gain experience in an in-house legal environment?  We are looking to hire a Legal Support Specialist within the Regulatory Strategy & Special Investigations department (“RSSI”), a part of LPL’s Compliance, Legal, and Risk (“CLR”) organization. We are a diverse and dynamic team of lawyers, analysts, and investigators who take pride in the culture of our team and our challenging work.

Excited to learn more? If so, then this could be the role for you!

Job Overview: This is a critical position on our team and involves a focus on supporting regulatory processes and providing legal administrative support to the RSSI team. You will be working on a team that prepares reporting to executive management and supports our group to respond to regulatory inquiries and investigations.

What will you do?

  • Assist in producing high priority case docket, decks, and metrics to Executive Management
  • Provide matter management support to attorneys and analysts  
  • Assist with the assignment of new matters and tracking of key deadlines
  • Research, analyze, gather documents and information to assist in responding to regulators

What are we looking for?

  • A great attitude and strong interest in developing into a legal operations expert
  • Strong MS Office skills including Word, Excel, PowerPoint and Outlook
  • Ability to quickly learn new systems and navigate multiple tasks simultaneously  
  • Exceptional oral and written communication skills and the ability to draft documents and communications

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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