Vice President, Assistant General Counsel - Privacy/Compliance

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.

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