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AVP, Privacy

Job ID: R-004827 Date posted: 11/30/2018 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. We are seeking an 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:

a) following privacy-related regulatory changes and driving compliance efforts across the organization (including  further maturing aspects of the privacy compliance program, reviewing/revising policies,  developing and implementing procedures, and participating in and shaping organizational responses to new legal and regulatory requirements)  and

b) coordinating advice to employees and advisors on issues relating to privacy and security, creating tools for business units to use to drive privacy compliance within their areas,  and developing training on how to use those tools. 

Principal Accountabilities:

  • Serve as a visible and highly engaged privacy compliance expert
  • Further mature the privacy compliance program from determination of legal requirements through monitoring and enforcement
  • Draft procedures and templates for business unit implementation, tools to help that implementation, and training on how to use the tools
  • Represent the Privacy Office on transformative projects related to compliance with regulatory initiatives that concern privacy and data protection
  • Work actively with other departments at LPL, including, most notably,  Info Security, operations, marketing,  and compliance,
  • Work closely with InfoSecurity on technological innovation initiatives, compliance with laws and regulations, and assessing the overall threat environment at LPL
  • Oversee Privacy Office responses to Data Loss Prevention initiatives and notifications
  • Provide input into the drafting/revision of the website privacy notice as well as notices required for new or enhanced applications
  • Coordinate interdepartmental resources to provide advice on privacy and security-related questions
  • Provide input into  annual policy and training review initiatives
  •  Help with response to audit inquiries, insurance renewals, etc.
  • Manage all activities in a manner that is professional and courteous to LPL advisors and employees


  • Prior project management experience
  • Prior compliance experience including the drafting of procedures
  • Prior privacy compliance experience in the financial services industry is  a plus.   CIPP-US or CIPM preferred, but not required. 
  • Working knowledge of GLBA, HIPAA, and state/federal privacy laws is a plus
  • Experience in managing a regulated compliance or operational function with audited controls is also a plus. 
  • 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