Paralegal
Apply NowCompany: LPL Financial Holdings, Inc.
Location: Charlotte, NC 28269
Description:
Job Overview:
LPL Financial is seeking a 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's Legal, Government and Compliance ("LGR'). 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:
Requirements:
Preferences:
#LI-PA
Pay Range:
$30.43-$50.72/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!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
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 (855) 575-6947.
EAC1.22.25
LPL Financial is seeking a 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's Legal, Government and Compliance ("LGR'). 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.
Requirements:
- 3+ years paralegal experience supporting a litigation attorney at a law firm or in-house in the legal, compliance, securities and case management departments.
- 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.
Preferences:
- Ability to work independently and effectively to meet deadlines, including the ability to effectively assess, prioritize and manage shifting responsibilities.
- Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems. Experience with legal technology a plus.
- Ability to interact and communicate across all business lines, and with internal and external customers.
- Paralegal or comparable certification preferred but not required.
- Degree level qualification of bachelor's degree or equivalent a plus.
#LI-PA
Pay Range:
$30.43-$50.72/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!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @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 (855) 575-6947.
EAC1.22.25