AVP, AI Risk and Governance

LPL Financial LLC; Arlington (VA); On-site; USD 117,214 - 195,288; Full time

Benefits offered by this job

401(k) matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial LLC is looking for an Assistant Vice President to join their AI Risk and Governance team in Arlington, Virginia. This role is essential for overseeing AI risk management and ensuring compliance with industry standards.

The ideal candidate will possess a Bachelor’s degree and 5-8+ years in risk management within financial services, with strong analytical and communication skills. The position offers a competitive salary and various employee benefits, including a 401(k) matching program.

Qualifications

• 5-8+ years of experience in risk management or compliance roles.
• Experience with AI Risk and Governance frameworks.
• In-depth knowledge of AI-related regulations and standards.

Responsibilities

• Support maintaining and evolving the AI governance framework.
• Conduct risk assessments on AI solutions.
• Define control expectations for AI development.
• Collaborate with cross-functional teams for AI model alignment.

Skills

Analytical skills

AI technologies

Communication skills

Problem-solving skills

Education

Bachelor’s degree in relevant field

Job description

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 governance framework, and collaborating across functions to enable responsible AI adoption at pace.

Responsibilities

• Support 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 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 the NIST AI Risk Management Framework, ISO AI standards, and 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.

Qualifications & 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 frameworks.

Core Competencies

• Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy.
• Advanced 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.

Preferred Certifications

• Certified Information Systems Security Professional (CISSP).
• Certified Risk Management Professional (CRMP).
• Other similar certifications.

Compensation

Pay Range: $117,214.00 – $195,288.00. The actual base salary varies based on relevant skill, prior experience, education, internal peer comparison, performance, and geographic location. LPL Total Rewards includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

EEO Statement

Principal only. EOE.