Legal Assistant - Paralegal

Are you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Are you solution-oriented and committed to delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, then this could be the role for you!  

Job Overview:

LPL Financial seeks an experienced legal assistant to join its corporate legal advice team. This position will report to a Senior Vice President responsible for providing strategic legal advice to various business units. The team focuses primarily on the LPL’s broker-dealer business but also provides support to the investment advisory business. This position entails assisting legal counsel with advising LPL’s (1) Control groups (Compliance, Supervision, Surveillance); (2) Trading and Operations team; and (3) drafting forms, disclosures and agreements.

The ideal candidate is one who can thrive in a fast-paced business environment and can manage a substantial docket autonomously.  A qualified candidate will have relevant legal experience within a law firm or a financial services company. A paralegal certificate is preferred but not required as is prior law school or legal education.     

Responsibilities:

• Day-to-day legal support for LPL’s financial services business, including providing assistance with legal analysis with respect to compliance with applicable rules, regulations and legal risks relating to the brokerage and investment advisory business.
• Assisting with managing and drafting forms, disclosures and agreements.
• Interacting with other members of the Legal Department as well as other LPL business units including, amongst other departments, Supervision, Compliance and Risk.
• Assisting with legal research and presentation development.

What are we looking for?

This position requires excellent communication skills, both verbal and written.  The candidate must demonstrate keen strategic thinking, and have excellent analytical, project management and time management abilities.  Provide timely escalations to partners within LPL’s Legal Department.

Requirements:

• 3+ years of experience at a law firm or within an in-house legal department, preferably in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations as well as related federal and state securities laws.
• Proficiency in legal writing, performing legal research (LexisNexis preferred) and written communication skills.
• Understanding of or desire to learn the regulatory landscape applicable to broker-dealers and registered investment advisers, including a familiarity with regulatory processes (SEC and FINRA).
• Proficiency with MS Word, Excel, PowerPoint, and Outlook

Core Competencies:

• Ability to interface effectively with internal personnel as well as LPL advisors, clients and their counsel
• Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program
• Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
• Outstanding interpersonal skills and team-player attitude

#LI-PA

Pay Range:

$33.46-$55.77/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.

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