Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? 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!

Excited to learn more? If so, then this could be the role 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:

We are seeking a highly organized and detail-oriented legal assistant to provide essential and key support within our Institution Services legal team. The ideal candidate will play an integral role in assisting with contract preparation, review and maintenance, regulatory compliance documents and assisting with various other legal tasks related to our partnerships with our financial institution clients. This role will report to the Vice President, Assistant General Counsel and Head of Institution Services Legal.

This role will be based out of either Fort Mill, South Carolina or Boston, Massachusetts

Responsibilities:

Contract Lifecycle Management:

• Assist in drafting, reviewing, proofreading, and managing client agreements and related correspondence.

• Assist in identifying key terms, conditions, and potential legal risks.

• Maintain organized records of all contract requests and associated documentation.

• Interface with client-facing team members and other internal support teams in holistically managing our client relationships.

Regulatory Compliance:

• Assist in monitoring and tracking applicable regulatory changes.

• Assist in ensuring the organization’s compliance with applicable laws, rules, and regulations.

Documentation and Record Keeping:

• Maintain an organized filing system for legal contracts and related correspondence.

Communication:

• Communicate with internal and external stakeholders to collect necessary information and documentation.

• Act as a central conduit for communications between the Institution Services legal team, client-facing team members, clients, and other support teams

• Collaborate with attorneys, other legal staff, compliance officers and other internal teams.

Research and Analysis:

• Assist in conducting legal research on regulatory and compliance issues.

• Analyze client contracts for compliance with internal policies and procedures to identify areas of potential legal risks.

Recordkeeping:

• Proactively work with the organization’s contract management team to maintain accurate and up-to-date records of the status of contract requests, pending and final client contracts and related documentation

Administrative Support:

• Provide general administrative support to the Institution Services legal team, including assisting with scheduling meetings, client calls, preparing reports and managing calendars in order to ensure compliance with internal service level arrangements and external deadlines.

Confidentiality:

• Ability to handle sensitive and confidential information with the utmost discretion and professionalism.

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 in a relevant field (legal studies, finance, business administration)

• Prior experience in a legal assistant or paralegal role (either at a law firm or another financial services organization) with a focus on securities or financial services

• Strong knowledge of contract management

Core Competencies:

• Familiarity with financial industry regulators and regulations

• Excellent verbal and written communication and organizational skills

• Proficiency in using Microsoft Office programs and document management software.

• A keen focus to detail and the ability to work in a fast-paced and dynamic work environment.

• Ability to work independently and as part of a team.

• A commitment to maintaining the highest ethical and professional standards.

Pay Range:

$32.46-$48.69/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 are one 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.