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Paralegal - Regulatory

Job ID: R-003809 Date posted: 08/30/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

LPL Financial has a full time opportunity for a Paralegal to support our REI division and will report to a Senior Vice President of Compliance, Legal and Risk. The Paralegal will be responsible for performing general paralegal and administrative duties to support the Regulatory Examinations and Inquiries group. Regulatory Examinations and Inquiries (“REI”) handles a broad range of regulatory matters, including SEC, FINRA and state cycle and routine examinations, industry sweeps, cause exams, and other types of matters. 

This role can be located at either our San Diego or Fort Mil Corporate office.

Specific responsibilities include:

  • Research, analyze and assist in drafting responses to regulatory inquiries from FINRA and other regulators, including matter tracking, gathering of documents and information, and submission of responses.
  • Provide administrative support to group, including assisting with docket management and related reporting to senior management and other areas of the Firm.
  • Coordinate with and escalate issues to other internal company business units.
  • Special projects including serving on or supporting committees or large group projects.


  • 2 to 3 years paralegal experience supporting litigation or regulatory attorney at a law firm or in-house legal department
  • Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems
  • Must be able to interpret and communicate complex legal and factual subject matter in clear and simple terms
  • Ability to interact and communicate across all business lines, and with internal and external customers
  • Exceptional analytical skills coupled with exceptional oral and written communication skills
  • Strong organizational skills and experience with report generation tools and data analysis
  • Bachelor's degree preferred

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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  • Legal, San Diego, California, United StatesRemove
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