LPL Financial
Vice President, Assistant General Counsel - Privacy/Compliance
LPL Financial, Boston, Massachusetts, us, 02298
Vice President, Assistant General Counsel - Privacy/Compliance
Join to apply for the
Vice President, Assistant General Counsel - Privacy/Compliance
role at
LPL Financial Vice President, Assistant General Counsel - Privacy/Compliance
3 days ago Be among the first 25 applicants Join to apply for the
Vice President, Assistant General Counsel - Privacy/Compliance
role at
LPL Financial Get AI-powered advice on this job and more exclusive features. 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 financial goals with confidence.
What if you could
have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
LPL is seeking a highly skilled and experienced Vice President, Attorney to join our Legal Privacy team. This role is focused primarily on the coverage of privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and working closely with cross-functional teams in legal, risk, and compliance to advise and oversee the business on data privacy issues.
The individual will work closely with technology, data governance, product management, information security and business owners to develop and implement strategies and initiatives with respect to privacy and disclosure requirements. Must be skilled at navigating complex and nuanced privacy and data protection issues in a strategic manner.
Responsibilities:
Analyze and apply laws and provide legal advice regarding regulations and corporate policies related to: The EU General Data Protection Regulation and other international privacy laws and regulations. California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA); US privacy laws, including GLBA, Regulation S-P, and U.S. state privacy laws. FCC and FTC consumer privacy rules, including TCPA, email marketing and CAN-SPAM. Biometrics, Geo-location, Targeted Advertising, Automated Decision Making and e-Commerce. Collection, use, and destruction of Data and Personal Information, analytics and issues associated with governance of the information life cycle. HIPAA and related regulations. Drive privacy compliance and priorities related to overseeing compliance with data privacy laws, rules and regulations and adherence to the company’s policies. Provide legal counsel on data inventory and mapping efforts, retention, and destruction. Collaborate across the privacy team, lead in the development and implementation of monitoring and testing coverage plans, privacy risk assessments, business process assessments, and privacy reviews for third parties handling personal information. Evaluate business line initiatives and processes from a privacy risk perspective. Stay up to date with emerging information use and privacy-related legislation and regulations both foreign and domestic. Monitor the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, direct the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenge the implementation plan as needed; maintain a comprehensive regulatory inventory. Develop positive cross-departmental working relationships to maintain an open environment for collaboration, risk identification and escalation.
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:
JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S. Minimum 8-12+ years of legal experience with a strong background in: Data privacy- including implementing and overseeing privacy laws, rules, regulations. Broker-dealer and registered investment advisory regulatory compliance (SEC, FINRA, MSRB). Cybersecurity, and technology law.
Core Competencies:
Strong analytical and problem-solving skills. Excellent written and verbal communication. Ability to manage multiple priorities in a fast-paced, high-stakes environment. Collaborative mindset with the ability to work across legal, compliance, risk, and technology teams. Deep understanding and working knowledge of data protection laws (e.g., Reg. S-P, GDPR, CCPA), and emerging regulations. Prior experience in the financial services industry is a plus. Proficiency advising risk and compliance managers and other attorneys in the above areas and supporting them in the development of practical operational processes that control risk and ensure compliance. Ability to work with a wide variety of people, at all levels in the organization, in a fast-paced environment. Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment.
Pay Range:
$167,025-$278,375/year
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
Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Administrative Referrals increase your chances of interviewing at LPL Financial by 2x Sign in to set job alerts for “Assistant to Vice President” roles.
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Join to apply for the
Vice President, Assistant General Counsel - Privacy/Compliance
role at
LPL Financial Vice President, Assistant General Counsel - Privacy/Compliance
3 days ago Be among the first 25 applicants Join to apply for the
Vice President, Assistant General Counsel - Privacy/Compliance
role at
LPL Financial Get AI-powered advice on this job and more exclusive features. 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 financial goals with confidence.
What if you could
have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
LPL is seeking a highly skilled and experienced Vice President, Attorney to join our Legal Privacy team. This role is focused primarily on the coverage of privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and working closely with cross-functional teams in legal, risk, and compliance to advise and oversee the business on data privacy issues.
The individual will work closely with technology, data governance, product management, information security and business owners to develop and implement strategies and initiatives with respect to privacy and disclosure requirements. Must be skilled at navigating complex and nuanced privacy and data protection issues in a strategic manner.
Responsibilities:
Analyze and apply laws and provide legal advice regarding regulations and corporate policies related to: The EU General Data Protection Regulation and other international privacy laws and regulations. California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA); US privacy laws, including GLBA, Regulation S-P, and U.S. state privacy laws. FCC and FTC consumer privacy rules, including TCPA, email marketing and CAN-SPAM. Biometrics, Geo-location, Targeted Advertising, Automated Decision Making and e-Commerce. Collection, use, and destruction of Data and Personal Information, analytics and issues associated with governance of the information life cycle. HIPAA and related regulations. Drive privacy compliance and priorities related to overseeing compliance with data privacy laws, rules and regulations and adherence to the company’s policies. Provide legal counsel on data inventory and mapping efforts, retention, and destruction. Collaborate across the privacy team, lead in the development and implementation of monitoring and testing coverage plans, privacy risk assessments, business process assessments, and privacy reviews for third parties handling personal information. Evaluate business line initiatives and processes from a privacy risk perspective. Stay up to date with emerging information use and privacy-related legislation and regulations both foreign and domestic. Monitor the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, direct the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenge the implementation plan as needed; maintain a comprehensive regulatory inventory. Develop positive cross-departmental working relationships to maintain an open environment for collaboration, risk identification and escalation.
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:
JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S. Minimum 8-12+ years of legal experience with a strong background in: Data privacy- including implementing and overseeing privacy laws, rules, regulations. Broker-dealer and registered investment advisory regulatory compliance (SEC, FINRA, MSRB). Cybersecurity, and technology law.
Core Competencies:
Strong analytical and problem-solving skills. Excellent written and verbal communication. Ability to manage multiple priorities in a fast-paced, high-stakes environment. Collaborative mindset with the ability to work across legal, compliance, risk, and technology teams. Deep understanding and working knowledge of data protection laws (e.g., Reg. S-P, GDPR, CCPA), and emerging regulations. Prior experience in the financial services industry is a plus. Proficiency advising risk and compliance managers and other attorneys in the above areas and supporting them in the development of practical operational processes that control risk and ensure compliance. Ability to work with a wide variety of people, at all levels in the organization, in a fast-paced environment. Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment.
Pay Range:
$167,025-$278,375/year
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
Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Administrative Referrals increase your chances of interviewing at LPL Financial by 2x Sign in to set job alerts for “Assistant to Vice President” roles.
Boston, MA $51,975.00-$86,625.00 2 days ago Boston, MA $60,000.00-$90,000.00 4 days ago Boston, MA $80,000.00-$110,000.00 4 days ago Lexington, MA $69,000.00-$79,000.00 2 weeks ago Executive Assistant to the CEO of the MIT Alumni Association
Executive Assistant to the CEO of the MIT Alumni Association
Executive Assistant to Chief Executive Officer
Boston, MA $135,000.00-$155,000.00 2 weeks ago Boston, MA $90,000.00-$120,000.00 6 days ago Executive Assistant to the President's Office
Cambridge, MA $50,000.00-$65,000.00 3 weeks ago Executive Assistant to Global Head, PK Sciences
Cambridge, MA $63,600.00-$118,200.00 6 days ago Executive Assistant - Ultrasound R&D (Cambridge, MA)
Boston, MA $65,000.00-$75,000.00 2 days ago Executive Assistant - Private Equity - 27360
Boston, MA $80,000.00-$100,000.00 6 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr