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AVP, Associate Counsel Privacy (remote)

Job ID: R-018948 Date posted: 11/01/2021 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-Remote , CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

LPL is looking for an Assistant Vice President, Associate Counsel Privacy to join its Privacy Office, which is part of LPL’s Compliance, Legal and Risk organization. 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 with cross-functional teams in legal/ risk/ 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.

Principal Accountabilities:

  • Analyze and apply laws and provide legal advice regarding regulations and corporate policies related to:
    • California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA);
    • The EU General Data Protection Regulation and other international privacy laws and regulations;
    • 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, e-Commerce, and return to office matters;
    • Collection and use 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.
  • 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. 


  • 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 3-5 years of direct experience in Privacy including implementing and overseeing privacy laws, rules, regulations.
  • The attorney must have a working of knowledge of state/federal privacy laws including GLBA and CCPA.  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.
  • Familiarity with privacy issues arising in the employment context.
  • 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.
  • Excellent written and oral communication.

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  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 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 (800) 877-7210.

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