Senior Privacy Specialist (Broker-Dealer)

Accountabilities:

• Serve as the primary privacy subject matter expert and business partner, advising stakeholders on privacy requirements, risks, controls, and responsible data practices.
• Represent the first line of defense for privacy across business initiatives, working groups, strategic discussions, and operational decisions.
• Lead ongoing privacy program activities, ensuring alignment with organizational policies, procedures, and applicable regulatory obligations.
• Oversee privacy governance, reporting, training, awareness initiatives, audits, and compliance reviews.
• Maintain and improve privacy policies, procedures, operational controls, and supporting documentation.
• Communicate emerging privacy requirements, regulatory developments, and policy updates to relevant business stakeholders.
• Lead privacy discussions and advise teams on Privacy Impact Assessments (PIAs) and Data Protection Impact Assessments (DPIAs), embedding privacy-by-design principles into business processes.
• Support privacy rights request processes, consent and preference management, privacy notice administration, data mapping, and records of processing activities.
• Monitor changes in state and federal privacy and security laws, regulations, and industry standards, helping business teams adapt their practices accordingly.
• Oversee privacy incident reporting, escalation, documentation, investigation, and remediation, coordinating with relevant stakeholders to support timely and effective responses.
• Identify recurring incident patterns, root causes, and opportunities to strengthen controls and proactively mitigate privacy risks.
• Support vendor and supplier privacy assessments, inquiries, and related risk management activities.
• Champion the ethical use of personal information and help teams balance business objectives, innovation, and privacy obligations.
• Build strong relationships across business, legal, compliance, risk, and information security teams, influencing outcomes without relying on direct authority.

Requirements:

• Bachelor's degree or equivalent professional experience.
• At least eight years of professional experience leading privacy programs, privacy operations, or privacy governance activities.
• Strong knowledge of state and federal privacy and security regulations, including privacy rights requests, consent management, privacy notices, data inventories, records of processing activities, and privacy incident management.
• Demonstrated experience conducting Privacy Impact Assessments (PIAs) and Data Protection Impact Assessments (DPIAs).
• Excellent written and verbal communication skills, including the ability to explain complex privacy and regulatory matters clearly to varied audiences.
• Strong presentation, relationship-building, stakeholder management, and influencing skills.
• Exceptional organizational, analytical, and problem-solving abilities, with the capacity to manage multiple priorities in a fast-paced environment.
• Proven ability to work independently, navigate ambiguity, and collaborate effectively across business functions.
• Highly preferred: Experience in a broker-dealer, financial services, wealth management, banking, insurance, or another highly regulated industry.
• Highly preferred: Existing FINRA registrations, including Series 7, Series 66, and/or Series 24.
• Highly preferred: Certified Information Privacy Professional (CIPP/US) and/or Certified Information Privacy Manager (CIPM) certification.
• Candidates who do not already hold the required licenses and certification are expected to obtain the FINRA Series 7, Series 66, and Series 24 licenses, along with either the CIPP/US or CIPM certification, within 12 months of hire.
• Applicants must be authorized to work in the United States without requiring current or future immigration sponsorship. Sponsorship is not available for this position.

Benefits:

• Annual base salary ranging from $104,400 to $187,200, depending on location, relevant experience, education, licenses, and skill level.
• Location-specific annual salary ranges:
  • Grand Island, Nebraska / Wichita, Kansas: $104,400–$140,400.
  • Des Moines, Iowa / Tampa, Florida: $110,200–$148,200.
  • Charlotte, North Carolina / Dallas, Texas: $116,000–$156,000.
  • Chicago, Illinois / Denver, Colorado / Minneapolis, Minnesota: $127,600–$171,600.
  • Los Angeles, California / New York City, New York: $139,200–$187,200.
  • Eligibility to participate in a bonus program for non-sales positions, subject to applicable program terms.
  • Flexible Time Off (FTO) for eligible salaried employees, allowing paid time away for vacation, personal needs, or short-term illness without accruing a fixed bank of days.
  • Pension eligibility.
  • Comprehensive benefits designed to support physical, financial, and social well-being.
  • Fully remote work arrangement.
  • Equal employment opportunity and consideration for all qualified applicants, in accordance with applicable laws.
  • Application timing: Applications are accepted for at least three full days following the original posting date. The posting may remain open or be removed depending on the applications received, so early submission is encouraged.

  Additional Employment Information:

  • Employees in certain positions may be subject to an Investment Code of Ethics governing personal and business conduct, including personal trading activities for themselves and members of their household.
  • Compensation is determined based on relevant qualifications and business considerations, with final salary established at the time of offer.