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VP, IT Security Compliance

Job ID: R-007432 Date posted: 08/16/2019 Primary Location SC-Fort Mill

The VP of IT Security (IAM/DLP) Compliance is a strategic leadership role within LPL Financial’s Compliance, Legal & Risk (CLR) organization with specific focus on Identity Access Management (IAM) and Data Loss Prevention (DLP).  This experienced manager will lead a team that will partner with Information Security and other key business partners to provide strategic direction for the IAM and DLP programs, to define and implement testing protocols, perform routine control tests, provide recommendations on how to improve processes to comply with requirements, ensure policies & procedures are aligned to current regulatory and operating environment, and making sure the program is aligned to LPL’s operating plan.  This leader is required to have experience working in a Compliance organization and a strong working knowledge of IAM and DLP, technical insight, and the ability to collaborate with business partners at all levels.  Exceptional organizational and communication skills and working as part of a larger management team and the ability to act as a delegate for executives is also a key requirement for this role.

Primary Responsibilities:

  • Define and implement a systematic, disciplined IAM/DLP Compliance program and provide strategic direction
  • Lead the IAM/DLP Compliance team and work with Information Security to ensure controls are working as designed through testing and other oversight controls
  • Develop strong recommendations for corrective actions to reduce risk and to ensure compliance.
  • Collaborate with Info Security team to maintain ongoing IAM/DLP strategy and ensure alignment with business objectives.
  • Communicate effectively with management


  • Minimum of 10 years working as an IT Security Compliance Analyst, Auditor, Enterprise Risk Analyst or similar role.
  • 3+ years of experience in a Compliance or risk function driving adherence to regulatory and internal IT controls
  • Certified Information Systems Security Professional (CISSP) or equivalent professional designation in good standing.
  • Working knowledge of relevant Information Security laws, rules and regulations (e.g. GDPR, SOX, 21 CFR Part 11, GLBA, CCPA)
  • Working knowledge of Information Security principles (e.g.: NIST Cybersecurity Framework (CSF), FIPS) and basics of Information Security policy, techniques and implications across computing platforms.
  • Bachelor’s Degree in Technology, Information Security or related field
  • Demonstrated creativity, leadership and communication skills
  • Ability to work independently and contribute to team deliverables.
  • Good collaboration and interpersonal skills, self-motivated, willingness to take on challenges and adaptability to change.
  • Understanding of risks in banking/financial services sector will be an added advantage

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