Senior Privacy Specialist (Broker-Dealer)

We're seeking a Senior Privacy Specialist (Broker-Dealer) to join our Principal Securities Broker Dealer team. In this highly visible role, you'll serve as the primary privacy consultant and business partner for Principal Securities, helping ensure the responsible, ethical, and compliant use of personal information across the business.

This is an exciting opportunity for an experienced privacy professional who enjoys building relationships, influencing without authority, and driving privacy programs in a complex, highly regulated environment. The role will serve as a key first-line-of-defense privacy resource, partnering across legal, compliance, information security, risk, governance, operations, and business teams to advance privacy maturity and regulatory compliance. The hiring team emphasized the importance of relationship-building, enterprise partnership, and the ability to work independently to establish and grow privacy capabilities within the business.

What You'll Do

Privacy Leadership & Business Partnership

• Serve as the primary point of contact and subject matter expert for business privacy matters.
• Represent privacy as a first-line-of-defense (FLOD) partner in business initiatives, working groups, and strategic conversations.
• Advise stakeholders on privacy requirements, risks, and controls.
• Promote awareness and understanding of privacy policies, standards, and resources across the business.

Privacy Program Management

• Lead ongoing privacy program activities and ensure adherence to organizational policies and procedures.
• Oversee privacy governance activities, reporting, training, awareness initiatives, audits, and compliance reviews.
• Support maintenance of privacy-related policies, procedures, and operational controls.
• Communicate privacy updates and emerging requirements to key business stakeholders.

Privacy by Design & Regulatory Compliance

• Lead privacy discussions and advise teams on Privacy Impact Assessments (PIAs) and Data Protection Impact Assessments (DPIAs).
• Maintain documentation demonstrating compliance with applicable privacy regulations and business requirements.
• Support privacy rights request processes, consent and preference management, privacy notice administration, data mapping, and records of processing activities.
• Monitor changes in privacy and security laws, regulations, and industry standards and help drive business adaptation.

Privacy Risk & Incident Management

• Oversee privacy incident reporting, escalation, documentation, investigation, and remediation activities.
• Partner with stakeholders to ensure timely and effective incident response.
• Identify trends, root causes, and opportunities for proactive risk mitigation.
• Support vendor and supplier privacy assessments and inquiries.

Privacy Advocacy

• Champion Principal's commitment to the ethical use of personal information.
• Promote privacy-by-design principles throughout business processes and decision-making.
• Serve as a trusted advisor helping teams balance innovation, business objectives, and privacy obligations.

• Bachelor's degree or equivalent experience.
• 8+ years of professional experience leading privacy programs, privacy operations, or privacy governance activities.

• Strong knowledge of state and federal privacy and security regulations, privacy rights requests, consent management, privacy notice administration, data inventories, records of processing activities, and privacy incident management.
• Demonstrated experience conducting Privacy Impact Assessments (PIAs) and Data Protection Impact Assessments (DPIAs).

• Excellent verbal and written communication skills.
• Strong presentation, relationship-building, and stakeholder management abilities.
• Exceptional organizational, analytical, and problem-solving skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Proven ability to influence and collaborate effectively across teams and business functions.

Highly Preferred Qualifications

• Experience within a broker-dealer, financial services, wealth management, banking, insurance, or other highly regulated environment.
• Existing FINRA registrations, including Series 7, Series 66, and/or Series 24.
• Certified Information Privacy Professional (CIPP/US) and/or Certified Information Privacy Manager (CIPM) certification.

Licenses & Certifications

Candidates who do not currently hold the following licenses and certifications are expected to obtain them within 12 months of hire:

• FINRA Series 7
• FINRA Series 66
• FINRA Series 24
• Certified Information Privacy Professional (CIPP/US) or Certified Information Privacy Manager (CIPM)

Why You'll Be Successful

The ideal candidate is a relationship builder, trusted advisor, and self-starter who can operate independently while partnering across a complex organization. This role requires someone who can navigate ambiguity, influence without direct authority, and build strong connections across business, compliance, risk, legal, and privacy teams to advance Principal Securities' privacy program.

The following locations are examples of market-specific salary ranges across different geographies. 

• Grand Island, NE / Wichita, KS: $104,400 - $140,400 / year
• Des Moines, IA / Tampa, FL: $110,200 - $148,200 / year
• Charlotte, NC / Dallas, TX: $116,000 - $156,000/ year
• Chicago, IL / Denver, CO / Minneapolis, MN: $127,600 - $171,600 / year
• Los Angeles, CA / New York City, NY: $139,200 - $187,200 / year

Work Authorization/Sponsorship

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Code of Ethics

For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.

Principal is an Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

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