LPL Financial
Vice President, Assistant General Counsel - Privacy/Compliance
LPL Financial, San Diego, California, United States, 92189
Overview
LPL is seeking a highly skilled and experienced Vice President, Attorney to join our Legal Privacy team. This role focuses on privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and collaboration with cross-functional teams in legal, risk, and compliance to advise and oversee the business on data privacy issues. The individual will work 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. The role requires navigating complex 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 privacy and data protection. Cover privacy regulations including: EU General Data Protection Regulation and other international privacy laws; California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA); US privacy laws (GLBA, Regulation S-P, and state privacy laws); FCC and FTC consumer privacy rules (including TCPA, CAN-SPAM); and issues related to biometrics, geo-location, targeted advertising, automated decision making, e-commerce, data collection/use/destruction, analytics, and information life cycle governance; HIPAA and related regulations. Drive privacy compliance and prioritize adherence to data privacy laws, company policies, and regulatory requirements. Provide legal counsel on data inventory and mapping efforts, retention, and destruction. Collaborate across the privacy team; lead 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; monitor regulatory changes and advise business leaders; direct implementation of policies, standards, procedures, and processes; maintain a regulatory inventory. Develop cross-departmental relationships to enable collaboration, risk identification and escalation. Requirements
JD from a nationally accredited law school; admitted to practice law in at least one U.S. jurisdiction in good standing. Minimum 8-12+ years of legal experience with a strong background in: Data privacy, including implementing and overseeing privacy laws and regulations. Broker-dealer and registered investment adviser 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 across legal, compliance, risk, and technology teams. Deep understanding 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 in advising risk and compliance managers and other attorneys and supporting operational processes that control risk and ensure compliance. Ability to work with diverse groups at all levels in a fast-paced environment. Strong organizational and project management skills with the ability to handle multiple deadlines. Pay Range
$167,025-$278,375/year. Actual base salary varies based on factors including relevant skill, prior experience, education, internal peers’ base salary, performance, and geographic location. LPL Total Rewards includes 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Recruiter can discuss offerings. Company Overview
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. The firm supports over 29,000 financial advisors and wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in assets on behalf of about 7 million Americans. For more information, visit www.lpl.com. Interview Information
LPL will only communicate with applicants from an @lplfinancial.com email address and will never conduct an interview online or in a chat room. LPL will not request any form of payment or banking information during interviews. For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947. Seniority level
Executive Employment type
Full-time Job function
Administrative
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LPL is seeking a highly skilled and experienced Vice President, Attorney to join our Legal Privacy team. This role focuses on privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and collaboration with cross-functional teams in legal, risk, and compliance to advise and oversee the business on data privacy issues. The individual will work 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. The role requires navigating complex 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 privacy and data protection. Cover privacy regulations including: EU General Data Protection Regulation and other international privacy laws; California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA); US privacy laws (GLBA, Regulation S-P, and state privacy laws); FCC and FTC consumer privacy rules (including TCPA, CAN-SPAM); and issues related to biometrics, geo-location, targeted advertising, automated decision making, e-commerce, data collection/use/destruction, analytics, and information life cycle governance; HIPAA and related regulations. Drive privacy compliance and prioritize adherence to data privacy laws, company policies, and regulatory requirements. Provide legal counsel on data inventory and mapping efforts, retention, and destruction. Collaborate across the privacy team; lead 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; monitor regulatory changes and advise business leaders; direct implementation of policies, standards, procedures, and processes; maintain a regulatory inventory. Develop cross-departmental relationships to enable collaboration, risk identification and escalation. Requirements
JD from a nationally accredited law school; admitted to practice law in at least one U.S. jurisdiction in good standing. Minimum 8-12+ years of legal experience with a strong background in: Data privacy, including implementing and overseeing privacy laws and regulations. Broker-dealer and registered investment adviser 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 across legal, compliance, risk, and technology teams. Deep understanding 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 in advising risk and compliance managers and other attorneys and supporting operational processes that control risk and ensure compliance. Ability to work with diverse groups at all levels in a fast-paced environment. Strong organizational and project management skills with the ability to handle multiple deadlines. Pay Range
$167,025-$278,375/year. Actual base salary varies based on factors including relevant skill, prior experience, education, internal peers’ base salary, performance, and geographic location. LPL Total Rewards includes 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Recruiter can discuss offerings. Company Overview
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. The firm supports over 29,000 financial advisors and wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in assets on behalf of about 7 million Americans. For more information, visit www.lpl.com. Interview Information
LPL will only communicate with applicants from an @lplfinancial.com email address and will never conduct an interview online or in a chat room. LPL will not request any form of payment or banking information during interviews. For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947. Seniority level
Executive Employment type
Full-time Job function
Administrative
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