VP, Assistant General Counsel, Cybersecurity

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?

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 invo

Additional Information

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.

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