Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? 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.
Job Overview:
LPL Financial is seeking an Associate Paralegal to support our Early Dispute Resolution Group with general paralegal and administrative duties. The Early Dispute Resolution Group (“EDR”), is a part of LPL’sCompliance, Legal and Risk (CLR)organization.The successful candidate will work collaboratively with others in a team-oriented, fast-paced environment. The Paralegal will be responsible for providing day-to-day paralegal support to attorneys in EDR located in Boston, Fort Mill, SC or San Diego CA. as they address customer complaints and ensure timely required regulatory reporting.
Responsibilities:
- Support attorneys charged with responding to customer complaints and inquiries including tracking, facilitating required regulatory filings, ordering documents and routine handling from receipt through response and closure.
- Input and track all critical and procedurally important dates In Passport to ensure timely regulatory reporting.
- Coordinate with other departments or business units in requesting information related to specific matters and follow-up on responses
- Ensure that relevant documents critical to the resolution of matters are obtained and tracked, perform substantive document review
- Correspond with advisors and clients as it relates to inquiries, questions or other specific concerns
- Prepare reports on matters as requested by attorneys; review matters and timely drafting preliminary responses or closing memoranda
- Assist attorneys with administrative duties file creation, organization and maintenance, research, document productions, indexing documents produced and received, etc.
- Actively participate in department projects and initiatives and complete other duties as assigned
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
- Bachelor’s degree or equivalent
- 1 to 3 years paralegal experience supporting litigation attorney at a law firm or in-house (legal or compliance department is an advantage)
- Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems
Core Competencies:
- Self-starter with solid judgement, proactive, must be able to set priorities, plan, organize and accomplish tasks, often within strict time limitations
- Excellent time management, organizational, writing and communication skills
- Ability to work independently and effectively to meet deadlines, including the ability to effectively assess, prioritize and manage shifting responsibilities
- Ability to interact and communicate across all business lines, and with internal and external customers
Preferences:
- Experience with legal technology a plus
- Paralegal or comparable certification preferred, but not required
Pay Range:
$26.10-$39.14/hour
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
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 areone 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.
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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.