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AVP, Privacy

Job ID: R-001800 Date posted: 11/16/2017 Primary Location SC-Fort Mill

LPL Financial is the nation’s largest independent broker/dealer and fourth largest broker/dealer with more than 14,000 independent financial advisors in more than 4,000 branch offices nationwide. LPL Financial has been ranked the number one broker/dealer in its class consistently over the past 10 years. Financially strong and growing, its corporate offices are in Boston, San Diego, and Charlotte.

We are currently looking to hire an Assistant Vice President within the Privacy Office, which is part of LPL’s Compliance, Legal and Risk organization. Seeking organized, efficient, detail-oriented team player with a background in legal and regulatory compliance.  The AVP will report to the Chief Privacy Officer, and will responsible for following privacy-related regulatory changes and driving compliance efforts across the organization, including the areas of incident response, privacy notices, data usage and security policies and procedures, training, and coordinating advice to employees and advisors on issues relating to privacy and security. 

Principal Accountabilities:

  • Serve as a visible and highly engaged privacy compliance expert
  • Work actively with other departments at LPL, including, most notably, IT, operations, marketing, and compliance
  • Lead annual policy and training review initiatives
  • Oversee work product of the analyst team
  • Manage privacy office compliance with procedures, and driving to improve procedures with an eye to efficiency and consistency
  • Respond to audit inquiries
  • Coordinate interdepartmental resources to provide advice on privacy and security-related questions
  • Manage privacy office resources around project work, including major privacy-related initiatives
  • Investigate and analyze complex privacy-related incidents
  • Track office-related statistics and report on trends and risks
  • Manage all activities in a manner that is professional and courteous to LPL advisors and employees


  • Prior legal or privacy compliance experience in the financial services industry is strongly preferred.  Working knowledge of GLBA, HIPAA and state and federal privacy laws is a plus.  JD, CIPP-US or CIPM preferred, but not required. 
  • Experience in managing a regulated compliance or operational function with audited controls is also strongly preferred. 
  • College degree or equivalent work experience is a minimum requirement
  • Strong computer knowledge of Microsoft Office (including Excel), and familiarity with issue / incident management systems
  • Strong written and oral communication skills
  • Ability to:
    • Understand complex corporate and regulatory environments
    • Maintain confidentiality (this function is within the Legal department)
    • Work under pressure in meeting deadlines
    • Work cooperatively with others

•           We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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