VP, Assistant General Counsel, Cybersecurity

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

LPL is seeking a highly skilled and experienced Vice President, Cybersecurity Attorney to join the Legal Privacy team. This role will serve as the firm’s lead legal advisor on cybersecurity matters and will provide strategic legal counsel on incident response, cybersecurity regulations, data security requirements, crisis management, and cyber governance activities across the broker-dealer and investment advisory operations. The ideal candidate will have deep experience in financial services and a strong foundation in cybersecurity, technology, and data protection laws, with the ability to navigate complex regulatory frameworks in a fast-paced environment.

Responsibilities:

• Advise on legal and regulatory obligations applicable to cybersecurity incidents, including materiality assessments, regulatory notifications, disclosure requirements, and client/advisor communications.

• Serve as the primary legal advisor for incident response, working closely with Information Security, Technology, Communications, Compliance, and executive leadership during cyber and data events.

• Monitor and interpret evolving cybersecurity regulations (e.g., NYDFS Cybersecurity Rules, state breach laws, privacy laws, SEC/FINRA expectations) and assess their impact on business operations.

• Support crisis management activities and provide legal guidance on escalation, response coordination, and regulatory engagement during high-priority events.

• Draft, review, and update cybersecurity and incident response policies, standards, procedures, and playbooks, including enhancements to the firm’s incident response program and governance model.

• Provide legal input into cyber tabletop exercises, readiness assessments, and cross-functional simulations to strengthen operational resilience.

• Advise on cybersecurity requirements applicable to third-party service providers, vendor oversight, and technology integrations, including contractual terms, diligence, and supervisory expectations.

• Partner with Information Security to evaluate cybersecurity controls and governance frameworks, including processes related to logging, monitoring, identity and access management, endpoint protection, and vulnerability management.

• Support regulatory examinations, supervisory inquiries, remediation activities, and documentation efforts related to cybersecurity matters.

• Collaborate cross-functionally with Technology, Risk, Compliance, Data Governance, and business teams to support cybersecurity regulatory compliance and operational alignment.

• Educate internal stakeholders on cybersecurity legal risks, regulatory expectations, and best practices to promote a culture of cybersecurity awareness and accountability.

What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• Juris Doctor (JD) from an accredited law school; licensed to practice in at least one U.S. jurisdiction.

• 8–12+ years of legal experience with a strong background in cybersecurity, data security, privacy, technology law, or incident response.

• Experience in financial services with exposure to broker-dealer and/or investment advisory regulatory environments (SEC, FINRA, MSRB, banking regulators).

• Experience advising on cyber incident response, materiality assessments, regulatory notifications, and supervisory expectations.

Core Competencies:

• Familiarity with cybersecurity regulations and frameworks, including NYDFS Cybersecurity Rules, state breach laws, Reg S-P, SEC/FINRA expectations, and data protection statutes.

• Experience drafting and maintaining cybersecurity policies, incident response procedures, standards, and playbooks.

• Strong analytical and problem-solving skills, with the ability to translate complex technical concepts into actionable legal guidance.

• Excellent written and verbal communication skills, including experience presenting to executive leadership during time-sensitive events.

• Ability to manage multiple priorities in a fast-paced, high-stakes environment.

• Collaborative mindset with the ability to work across technical, business, legal, compliance, and risk teams.

Preferences

• In-house experience in a financial services or regulated technology environment.

• Experience advising on supervisory exams, regulatory inquiries, and remediation efforts involving cyber or technology controls.

• Knowledge of cybersecurity technologies and ecosystem components (e.g., logging/monitoring, endpoint security, IAM, cloud environments, threat detection platforms) is a plus.

• Strong contract negotiation and drafting skills.

• Familiarity with crisis management practices and communications during cyber or data events

Relevant Certifications:

• Cybersecurity & Risk Certifications:

• ISC2 CC, SSCP, CISSP, or CSSLP

• CISM, CRISC, or CISA (ISACA)

• Privacy & Data Certifications:

• CIPP/US, CIPT, CIPM (IAPP)

Pay Range: $172,036-$286,726/year

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!

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 www.lpl.com.

Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

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.

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