AVP, AI Risk and Governance

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.

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.
• Absorb and establish 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.
• Cook up coordination 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.

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

Pay Range: $117,214.00 - $195,288.00 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.