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:

At LPL Financial, we are seeking a dynamic and highly analytical Assistant Vice President (AVP) to join our Artificial Intelligence (AI) Risk and Governance team. The AVP plays a key role in the enterprise AI governance program, accountable for assessing and overseeing AI risk across LPL’s business functions, maintaining a robust and defensible governance framework, and collaborating across functions to enable responsible AI adoption at pace. This role involves managing and establishing AI governance frameworks, performing risk assessments, and ensuring compliance with regulatory requirements. With a strong analytical background, the AVP will collaborate with technology stakeholders to support a robust risk culture. The ideal candidate has a strong background in enterprise, technology and model risk management frameworks.

Roles & Responsibilities:

• Support in maintaining and evolving the AI governance framework, policies and standards in alignment with current and emerging regulatory landscape and frameworks.
• Conduct risk assessments and gap analyses on AI solutions to identify and evaluate risks and ensure compliance with internal policies and external regulations.
• Evaluate solutions for AI governance practices such as bias mitigation techniques and explainability methodologies.
• Define and challenge control expectations for AI development and deployment, including cybersecurity and broader technology governance processes
• Assist in establishing and overseeing AI risk governance frameworks, including control frameworks, governance standards, policy development and committee management.
• Collaborate with cross functional teams to ensure AI models align with AI risk frameworks and requirements.
• Ensure adherence to industry best practices, such as NIST AI Risk Management Framework, ISO AI standards as well as emerging AI regulations.
• Produce and support the production of materials for executive-level risk and governance committees.
• Coordinate across risk and business stakeholders to ensure framework consistency.
• Support the creation of AI related training, communications and awareness campaigns.
• Adapt to the evolving needs of business partners and changes within the Risk & Compliance organization.

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:

• Bachelor’s degree in computer science, Engineering, Risk Management, Economics, Finance, or a related discipline.
• 5-8+ years in risk management or compliance-related roles within financial services
• Experience with AI Risk and Governance

Core Competencies:

• Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy. Advanced level understanding of AI technologies, models and operational risks in the use of AI systems.
• Excellent written and verbal communication skills, with experience preparing executive-level presentations.
• Strong problem-solving skills with the ability to evaluate business opportunities and results against established objectives.
• Ability to drive change and facilitate critical thinking to create solutions for complex business challenges.
• In-depth knowledge of AI-related regulations, standards and industry best practices, such as the NIST AI Risk Management Framework and ISO AI standards is preferred.

Preferences:

• Relevant certifications such as Certified Information Systems Security Professional (CISSP), Certified Risk Management Professional (CRMP), or similar are a plus.

Pay Range:

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 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.

EAC 5.19.26