Vice President, AI Risk and Governance

Job Description:

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you’re ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

Job Overview:

The VP will oversee risk governance, including artificial intelligence and other programs to support a strong risk culture that prioritizes risk identification and collaboration across the three lines of defense. The role will lead the day-to-day execution and continued maturation of the firm’s enterprise AI governance program, accountable for assessing and overseeing AI risk across LPL’s business functions, maintaining a defensible governance framework, and partnering across functions to enable responsible AI adoption at pace. This is a builder-operator role for a dynamic risk professional who can preserve examination defensible standards within an evolving regulated landscape and serving as a credible challenge partner to business, technology and control functions.

Roles & Responsibilities:

• Maintain and evolve the AI governance framework, polices and standards in alignment with current and emerging regulatory landscape and frameworks
• Oversee, conduct and challenge risk assessments and gap analyses on AI solutions to identify and evaluate risks and ensure compliance with internal policies and external regulations.
• Define and challenge control expectations for AI development and deployment, including cybersecurity and broader technology governance processes
• Collaborate with cross functional teams to ensure AI models align with AI risk frameworks and requirements.
• Assist in establishing and overseeing AI risk governance frameworks, including control frameworks, governance standards, policy development and committee governance.
• Ensure adherence to industry’s best practices, such as NIST AI Risk Management Framework, ISO AI standards as well as emerging AI regulations.
• Serve as the subject matter expert and lead production of materials for executive-level risk and governance committees.
• Drive clear, well-reasoned risk decisions and ensure risks are documented and presented to executives in an effective manner
• Communicate AI risk clearly to non-technical executives, translating technical and regulatory nuance into actional decisions
• Coordinate across risk and business stakeholders to ensure framework consistency.
• Partner with Cybersecurity, third-party risk, privacy, legal and compliance on integrated reviews, defined clear decision rights across functions
• Help mature AI risk and governance operating model and track/escalation key risk and performance indicators
• 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 related discipline. Advanced degree preferred.
• 7-10+ years of experience in risk management, compliance, governance or a related control function, preferably within a regulated financial institution
• Experience working at a big 4 consulting firm or other large complex institution
• 2+ years in AI risk management, governance or compliance-related roles
• Prior leadership experience with a proven ability to lead and mentor teams

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 and presenting to executive-level audiences.
• Strong problem-solving skills with the ability to evaluate business opportunities and results against established objectives.
• Ability to drive change and facilitate criti…