Senior Privacy Specialist (Broker-Dealer)
Core
Senior privacy consultant and business partner ensuring responsible, ethical, and compliant use of personal information across a broker-dealer business.
Role type
Senior Privacy Specialist (Broker-Dealer)
Builds
Privacy programs, governance activities, and regulatory compliance frameworks for Principal Securities.
Domain
Financial Services / Broker-Dealer / Privacy & Data Protection
Required skills
Privacy program management, Privacy Impact Assessments (PIAs), Data Protection Impact Assessments (DPIAs), privacy incident management, consent management, privacy notice administration, data mapping, records of processing activities, regulatory compliance monitoring, stakeholder influence, relationship building.
Preferred skills
FINRA registrations (Series 7, 66, 24), CIPP/US or CIPM certification, experience in highly regulated environments (banking, insurance, wealth management).
Technologies
N/A
Responsibilities
Serve as primary point of contact for business privacy matters; lead privacy program activities including governance, reporting, training, and audits; advise teams on PIAs and DPIAs; oversee privacy incident reporting and remediation; monitor changes in privacy laws and drive business adaptation; support vendor privacy assessments.
Seniority
Senior, hands-on IC