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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 LPLFinancialHiring@lplfinancial.com.
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Manager, Legal Intake and Matter Management

Job ID: R-022953 Date posted: 04/22/2022 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

Are you a team player? Are you curious to learn? 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!

Excited to learn more? If so, then this could be the role 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 19,000 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 manager for the Legal Intake and Matter Management Group (“Intake”), which is part of LPL’s Compliance, Legal and Risk (CLR) organization. This function supports the Legal department in reviewing and triaging a wide range of communications including, but not limited to, regulatory and litigation matters, complaints and inquiries sent to the Firm for action from the following groups: Regulatory Enforcement, Regulatory Inquiries, Litigation and Arbitration and Early Dispute Resolution. The successful candidate will work collaboratively with members of these legal groups in a team-oriented, fast-paced environment. The Manager of Intake will be responsible for providing day-to-day management of the Intake team and completing timely filings of required periodic regulatory reporting associated with these groups. 

Specific responsibilities include:

  • Oversee a department-wide system to efficiently intake and triage matters for the Legal department to facilitate assignments;
  • Manage team of associates to coordinate the efficient intake and assignment of matters sent to the Legal department;
  • Interface with Advisors, Business Risk Management, various teams in Legal and other stakeholders regarding submitted complaints/inquiries, regulatory and litigation matters;
  • Respond to stakeholders requesting missing and supplemental information needed for such matters as the intake of the matter develops; 
  • Track Intake metrics and work directly with Legal department leaders to execute on creating an efficient legal intake process;
  • Engage with members of the Legal department, CLR, and Technology to manage and continuously improve the department's matter management system (Passport);
  • Ensure timely reporting of required FINRA regulatory filings from all legal teams on a quarterly basis or as otherwise needed;

Qualifications:

  • 3-5 years of direct experience in the brokerage or financial services industry
  • Strong organizational skills and desire to manage people;
  • Ability to work in a fast paced environment without sacrificing diplomacy or attention to detail;
  • Strong communication skills with the ability to interface with legal staff, senior leaders and other stakeholders;
  • Experience with data management, analytics and metrics and ability to understand core technology processes;
  • Strong computer skills including use of Microsoft Office, Outlook, Microsoft Word, Excel and PowerPoint;
  • Familiarity and/or experience with web based software and matter management systems  (Passport and iManage experience preferred);
  • Strong organizational skills with the ability to manage records and files;
  • Bachelor’s Degree

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

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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 @lplfinancial.com 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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