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Legal Support Specialist

Job ID: R-023821 Date posted: 06/07/2022 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

LPL Financial is seeking a Legal Support Specialist to support our legal department, specifically the Early Dispute Resolution, Litigation/Arbitration, and Regulatory Groups. The Intake team 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 Legal Support Specialist will be primarily responsible for ensuring that relevant information involving complaint and inquiries are triaged and forwarded to these legal teams for assignment, review and/or resolution. The Legal Support Specialist position is available in our Carolinas Campus, San Diego or Boston locations.

Specific responsibilities include:

  • Triage, research and analyze complex inquiries to redirect inquiries/requests to the appropriate business units.
  • Support attorneys in setting up new matters including customer complaints, arbitrations, regulatory requests and other general legal inquiries, including tracking and researching within multiple source systems.
  • Correspond with advisors and internal business partners as it relates to inquiries, questions and other items on behalf of the legal teams.
  • Input and track all critical and procedurally important dates in matter management system, Passport, to ensure timely regulatory reporting and review by legal.
  • Collaborate with LPL business units, utilizing a variety of firm systems and software to obtain documents/information pertinent to the matter.


  • Solid judgment and problem solving skills, proactive, must be able to set priorities, plan, organize and accomplish tasks, often with strict time limitations.
  • Ability to handle multiple priorities/tasks simultaneously in a fast paced environment.
  • Self-starter, must be detail- oriented with the ability to work independently with minimal supervision.
  • Ability to learn aspects of the Financial Services industry and understand connections.
  • Ability to communicate in clear and simple terms and interpret materials. Strong oral and writing skills.
  • Ability to work as part of a team and efficiently to meet deadlines, including the ability to assess and prioritize and matters.
  • Must demonstrate a professional demeanor when corresponding with financial advisors and internal home office staff.
  • Ensure that relevant documents critical to the resolution of matters are obtained and tracked.
  • Demonstrate flexibility and adaptability when supporting multiple workflows and processes.
  • Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to learn new systems.
  • Bachelor’s degree preferred.
  • Experience in financial services and/or legal field.

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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