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Legal Support Associate

Job ID: R-005120 Date posted: 11/15/2018 Primary Location CA-San Diego

LPL Financial is seeking an entry-level candidate for our Legal Support Associate position. Successful candidates should have 1 to 3 years’ experience to support the members of Legal Department’s Intake group, which directly supports all groups within the entire department. 

Specific responsibilities include:

  • Intake new matters, including customer complaints, arbitration, legal advice inquiries, regulatory inquires, etc.
  • Partner with team members to intake unusual requests
  • Triage inquiries and appropriately redirect requests to other business units.
  • Accurately enter and update data into matter management system, Passport.
  • Conduct light research from multiple sources.
  • Correspond with Financial Advisors, Customers and internal business units both in writing and verbally. 
  • Answer incoming calls promptly and appropriate redirect calls as needed. 
  • Demonstrate flexibility and adaptability when supporting multiple workflows and processes. 
  • Review and promptly respond to email correspondence in multiple email accounts. 
  • Experience in financial services and/ or legal fields is desired. 


  • Must be detailed oriented with the ability to handle multiple tasks simultaneously. 
  • Must be flexible with the willingness to assist in other areas on an as needed basis..
  • Exceptional analytical skills.
  • Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to new systems;
  • Must be able to interpret and communicate legal subject matter in clear and simple terms.;
  • Solid problem-solving skills and decision-making abilities.
  • Must be able to work alone and within a small group, action-oriented and proactive,while continually displaying a sense of urgency. 
  • Bachelor’s degree.

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.

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