15+ years of progressive leadership experience in privacy, legal, compliance, risk management, data protection, cybersecurity governance, operational risk, or related disciplines.
Understanding of privacy and data protection regulations impacting financial services organizations, including GLBA, Regulation S-P, and applicable state privacy requirements.
Experience within a broker-dealer, registered investment advisor, bank, fintech, or other highly-regulated financial services organization.
Understanding of technology tools and applications and their use in the financial services industry, including significant experience with AI governance, responsible AI, or model governance.
Experience building, leading, and maturing enterprise compliance, governance, or risk management programs.
Demonstrated success working with regulators, auditors, executive leadership teams, and governance committees.
Nice to have
Juris Doctor (J.D.) from an accredited law school and/or significant experience advising on privacy, data protection, regulatory, technology, or governance matters within a highly-regulated environmen
Experience working for a federal financial services regulator (e.g., the SEC).
Experience serving as a Chief Privacy Officer, Head of Privacy, Compliance Executive, Risk Executive, or similar enterprise governance leader.
Professional certifications such as: Certified Information Privacy Professional (CIPP) Certified Information Privacy Manager (CIPM) Certified Regulatory Compliance Manager (CRCM) Certified Information
Full description
LPL Financial is seeking a strategic, forward-looking leader to serve as Senior Vice President and Chief Privacy Officer (CPO). Reporting directly to the LPL Chief Compliance Officer, this executive will be responsible for leading the design and execution of the firm’s enterprise privacy program, ensuring the organization effectively manages privacy and information-related risks and meets or exceeds evolving regulatory expectations at both the federal and state levels.
The new CPO will be responsible for establishing an enterprise privacy framework and strategy (including policy and “privacy-by-design” framework) and building the high-level technology roadmap for privacy, aligned to this program strategy.
The CPO will partner closely with other Compliance leaders, Enterprise Risk Management, Information Security, Technology, Data Governance, Legal, Internal Audit, and various other business leaders to establish governance frameworks, promote responsible data practices, and strengthen privacy and AI-related risk oversight across the enterprise.
Responsibilities:
Enterprise Privacy Governance
Lead and continuously enhance LPL Financial's enterprise privacy and data protection program.
Establish and maintain privacy governance frameworks, policies, standards, and procedures that align with regulatory requirements and industry best practices.
Ensure privacy risk considerations are embedded into business processes, technology solutions, products, and customer experiences.
Partner across the organization to advance a culture of responsible data stewardship and accountability.
Privacy Risk Management
Identify, assess, monitor, and report privacy-related risks across the enterprise.
Lead privacy risk assessments, privacy impact assessments, and control evaluations to identify potential exposures and mitigation opportunities.
Develop and monitor key risk indicators and program metrics to measure the effectiveness of privacy controls and governance practices.
Collaborate with Enterprise Risk Management to integrate privacy risks into broader operational and compliance risk frameworks.
Regulatory Compliance & Examination Management
Maintain oversight of compliance with applicable privacy and data protection regulations, including GLBA, Regulation S-P, state privacy laws, and other relevant regulatory requirements.
Monitor emerging regulatory developments and assess organizational impact.
Serve as the primary privacy leader during regulatory examinations, audits, inquiries, and reviews.
Oversee remediation efforts and sustainable corrective action plans related to privacy findings and recommendations.
Provide leadership within LPL's AI Governance framework, ensuring responsible and compliant use of artificial intelligence and emerging technologies.
Partner with other Compliance leaders, Risk, Technology, Legal, and business stakeholders to develop governance standards and controls for AI-enabled solutions.
Assess regulatory, privacy, consumer protection, and operational risks associated with AI and advanced analytics.
Monitor evolving regulatory expectations related to AI governance and lead implementation of required controls and oversight practices.
Data Protection & Incident Oversight
Oversee enterprise processes supporting data subject rights, consent management, privacy impact reviews, and data protection requirements.
Partner with Cybersecurity, Technology, and Incident Response teams to manage privacy-related incidents and data breach response activities.
Ensure appropriate escalation, regulatory notification, governance, documentation, and remediation processes are maintained and effective.
Monitoring, Testing & Awareness
Establish monitoring and testing programs to evaluate compliance with privacy requirements and internal standards.
Develop and oversee privacy training and awareness initiatives to strengthen employee understanding of privacy obligations and risk management responsibilities.
Promote a culture of compliance, accountability, and responsible data handling throughout the enterprise.
Executive Leadership
Lead and develop a team of privacy, compliance, and governance professionals.
Serve as a trusted advisor to executive leadership, governance committees, and risk forums on privacy, data protection, and AI-related risks.
Influence enterprise strategy and decision-making through effective risk-based recommendations and governance practices.
Build strong partnerships across Compliance, Risk, Technology, Security, Operations, and business leadership teams.
Requirements:
15+ years of progressive leadership experience in privacy, legal, compliance, risk management, data protection, cybersecurity governance, operational risk, or related disciplines.
Understanding of privacy and data protection regulations impacting financial services organizations, including GLBA, Regulation S-P, and applicable state privacy requirements.
Experience within a broker-dealer, registered investment advisor, bank, fintech, or other highly-regulated financial services organization.
Understanding of technology tools and applications and their use in the financial services industry, including significant experience with AI governance, responsible AI, or model governance.
Experience building, leading, and maturing enterprise compliance, governance, or risk management programs.
Demonstrated success working with regulators, auditors, executive leadership teams, and governance committees.
Preferred
Juris Doctor (J.D.) from an accredited law school and/or significant experience advising on privacy, data protection, regulatory, technology, or governance matters within a highly-regulated environment.
Experience working for a federal financial services regulator (e.g., the SEC).
Experience serving as a Chief Privacy Officer, Head of Privacy, Compliance Executive, Risk Executive, or similar enterprise governance leader.
Professional certifications such as:
Certified Information Privacy Professional (CIPP)
Certified Information Privacy Manager (CIPM)
Certified Regulatory Compliance Manager (CRCM)
Certified Information Systems Security Professional (CISSP)
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Pay Range:
$240,000.00 - $290,000.00
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Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
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Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit .
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 @lplfinancial.com 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 (855) 575-6947.