SVP, ASSOCIATE GENERAL COUNSEL, CHIEF PRIVACY OFFICER

The Legal Department at LPL Financial is looking for an attorney to serve as the Chief Privacy Officer (CPO) and Senior Vice President, Associate General Counsel of the firm. This attorney will be a visible leader across LPL, providing advice on legal and policy issues relating to privacy, technology development, cybersecurity and incident response, data governance, and artificial intelligence (AI) matters. The role will work with and lead an experienced team of lawyers to provide pragmatic legal advice and thought leadership.

Responsibilities:

• Lead a team of dedicated privacy attorneys and professionals, providing guidance on substantive legal issues and thoughtfully contributing to their career development. The CPO is a member of various authorized risk committees , as well as executive leadership for projects at the firm . As such, the ability to influence strategy with executive stakeholders is critical.

• Stay abreast of relevant privacy laws and regulations, including Gramm-Leach-Bliley Act (GLBA) and Regulation S-P , applicable state laws, such as the California Consumer Privacy Act (CCPA), and other applicable regional or industry-specific regulations. Experience with the General Data Protection Regulation (GDPR) compliance is a plus but not required .

• Develop and maintain privacy policies, procedures, and guidelines that align with legal requirements and industry best practices. Communicate and educate employees on these policies to foster a culture of privacy awareness and compliance.

• Develop and deliver privacy training programs to educate employees about their responsibilities regarding data protection and privacy. Raise awareness of privacy-related risks and best practices throughout the organization.

• Maintain and enhance procedures for handling and responding to privacy incidents. Coordinate with relevant stakeholders, such as Cybersecurity teams , T echnology teams, Regulatory Affairs, and Corporate C ommunications to ensure timely and appropriate incident response.

• Advise and oversee LPL 's response to fulfilling various data subject rights . Work collaboratively with T echnology and D ata G overnance teams to establish processes and systems to efficiently handle and document data subject rights afforded by applicable law .

• Draft and negotiate a high volume of provisions and agreements for a wide variety of commercial and technology contracts; collaborate with Commercial Contracts team to drive standards around privacy and data protection provisions, and handle escalations where the norm is not applicable.

• Serve as the primary point of contact for privacy-related inquiries from regulatory authorities, customers, and other stakeholders.

• Serve as the legal leader for AI matters at LPL . Actively participate as a member of the AI Governance Committee and other governance forums . Organize and informally lead a group of legal subject matter expert s in support of various AI initiatives . Stay up to date on legal, regulatory, and technological developments relating to AI.

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.

• 15 plus years of experience counseling on privacy and cybersecurity laws and regulations impacting the financial services industry, with a preference for attorneys who have operated in a financial complex involving a broker-dealer or registered investment advisor.

• Experience at a law firm or company in the financial services industry.

• Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment.

• Excellent written and oral communication skills , including the ability to influence others without direct authority.

• Good interpersonal skills and ability to interact with members of senior management , as well as adaptability and willingness to take on a wide variety of new tasks in a fast-paced environment.

Pay Range:

$207,075-$345,125/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.

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