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AVP, Privacy

Job ID: R-004583 Date posted: 10/01/2018 Primary Location SC-Fort Mill

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 be responsible for: following privacy-related regulatory changes and driving compliance efforts across the organization (including the areas of incident response, privacy notices, data usage,  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
  • Manage the privacy data event (potential unauthorized disclosures of personal data)  intake system
  • Investigate and analyze data events and make recommendations regarding notifications to regulators, individuals, and/or entities
  • Oversee the work  of a team of compliance analysts who investigate data events
  • Develop metrics and lessons learned from data events and report on risks, trends, and risk-mitigants regularly
  • Manage the privacy notice annual mailing process including: the drafting, distribution, and collation of responses of the annual questionnaire, revising the privacy notice as necessary, and providing the privacy notice to various business groups
  • Manage the privacy notice opt-out process and oversee the compliance analyst(s) who process those opt-outs
  • Provide input into the drafting/revision of the website privacy notice as well as notices required for new or enhanced applications
  • Work actively with other departments at LPL, including, most notably,  Info Security, operations, marketing, and compliance
  • Coordinate interdepartmental resources to provide advice on privacy and security-related questions
  • Provide input into  annual policy and training review initiatives
  • Take the lead on selected contract reviews from a privacy perspective
  • Manage response to audit inquiries, insurance renewals, etc.
  • Manage all activities in a manner that is professional and courteous to LPL advisors and employees


  • JD degree and admission to one state bar
  • Working knowledge of GLBA, HIPAA and state and federal privacy laws
  • Prior legal or privacy compliance experience in the financial services industry is strongly preferred.   CIPP-US or CIPM preferred, but not required. 
  • Experience in managing a regulated compliance or operational function with audited controls is also strongly preferred. 
  • 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

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove