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.
• 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.

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.