AVP, Associate General Counsel, Regulatory Inquiries and Strategy
Responsibilities: Represent the Firm and/or its associated persons on complex regulatory matters involving the Firm and/or its associated persons. Responsibilities in this area include, among other things, evaluating legal and regulatory risk and exposure, drafting written responses and/or reviewing draft written responses prepared by RIS analysts, negotiating productions with regulators, and defending witne... read more
AnalystThe Analyst position will report to the Vice President of the Special Investigations Unit (SIU). The position will be located in our Fort Mill office. SIU is situated within LPL’s Legal Department and works closely with the firm’s Regulatory, Litigation and Whistleblower groups. The unit investigates matters involving potentially significant misconduct by financial advisors and employees, proactively identifies potential areas of exposure within the company, ... read more
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 Compliance, 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, ... read more
Compliance Consultant V - Front Line Risk Assessment Lead
The candidate will provide oversight, guidance, and credible challenge for compliance officers assisting in Front Line Risk Assessment initiatives; Conduct quarterly reviews of compliance risk assessment data, working in conjunction with compliance officers and the Enterprise and Operational Risk Teams, to perform required activities in accordance with corporate policy, regulatory expectations and best practices; An...
Associate Attorney (Litigator)
Candidate will have a case load to manage, almost immediately. Strong litigation and writing skills are a must. Must possess or be able to develop excellent litigation skills -- writing, discovery, examination, and interpersonal skills are crucial. The candidate must have a very strong work ethic and be able to think critically and creatively through the issues and be able to handle a heavy caseload. A strong desire to work in the area of spe...
The candidate handle a general crimes caseload in Union County Office. The position combines the challenges of prosecution in a small, rural county with a collegial office environment. Should have a South Carolina law license.
The candidate will provide responsibilities include: Provide effective identification and mitigation of key business legal risks. Provide management and oversight for the filing and on-going maintenance of all pertinent intellectual property portfolio documents and rights, including patents, trademarks, and copyrights. Participate and provide guidance in complex business transactions. Draft and review contracts for all aspects of the business. Interact wi...
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Legal Executive Assistant
The candidate will follow the Contract Request/Review Policy including taking the necessary steps to ensure the process stays within the applicable timing under the policy. Ensure all contract forms are completed and followed in accordance with company policy. When necessary, communicate with the appropriate department to obtain missing information. Prepare drafts or review contracts within the time requested. Assist with litigation/dispute matter...
Contract Closing Escrow / Attorney
The candidate will perform real estate transactions involving the purchase, sale or refinance of a home or commercial real estate property. Must be Licensed Attorney in the state of South Carolina.
Waxhaw office of our client seeks associate attorney/litigator with experience. The candidate will work in a fast-paced litigation practice, manage their own case load, continually improve their skills, make presentations to the community, work in a highly adversarial environment, and work as a part of a team. Will have a case load to manage, almost immediately. Develop excellent litigation skills - writing, discovery, examination, and interpersonal skills are crucial. Shou...
The candidate will research and respond to customer complaints and inquiries including tracking, setting up files, making required FINRA filings and seeing complaint files through response and closure. Also respond to FINRA and other regulator inquiries involving clients and advisors. Perform collective analyses of product complaints for trends and identify potential corrective or preventive actions. Assist attorneys with complaints and arbitration incl...