What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their goals with confidence. What if you could support a portfolio of cases end-to-end in a collaborative environment with the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
The Paralegal provides comprehensive legal and administrative support to attorneys handling collections, recovery, and litigation and arbitration matters. This role assists with case preparation, document management, compliance monitoring, and coordination with internal teams and external counsel to ensure efficient and accurate handling of legal processes.
Responsibilities:
Case Management
Organize and maintain litigation files, including pleadings, discovery, and correspondence.
Track case deadlines, court dates, and manage calendars for attorneys.
Prepare case summaries and status reports for internal stakeholders.
Coordinate with business partners to develop an initial case file and assessment.
Document Preparation
Draft and review routine legal documents such as case profiles and files, discovery requests, and settlement agreements under attorney supervision.
Assist in preparing responses to discovery requests and compiling exhibits for hearings and trials.
Collections Support
Coordinate with collections teams to gather account documentation and payment histories.
Ensure compliance with applicable laws, regulations, and procedures, including the FINRA Code of Arbitration Procedure.
Litigation Coordination
Liaise with outside counsel, courts, and vendors to facilitate case progress.
Manage litigation holds and assist with e-discovery processes.
Monitor and update litigation databases and case tracking systems.
Compliance & Research
Conduct legal research on statutes, regulations, and case law related to collections and consumer litigation.
Support attorneys in responding to regulatory inquiries and audits.
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
Associate’s or Bachelor’s degree
Minimum 3–5 years of paralegal experience, preferably in financial services or litigation.
Familiarity with litigation and arbitration procedures.
Experience coordinating with outside counsel and case managers.
Strong case file management and decision-making skills.
Core Competencies:
Strong organizational and time management skills.
Proficiency in legal research tools and case management software.
Excellent and efficient written and verbal communication skills.
Ability to work independently and meet deadlines.
Paralegal certification
Experience with FINRA arbitration and/or securities litigation.
Knowledge of regulatory compliance in financial services.
#LI-PA
Pay Range:
$31.35-$52.24/hourCompany Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
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.
For further information about LPL, please visit www.lpl.com.
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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