VPII, Enterprise Data Governance Risk & Controls

LPL Financial LLC; Fort Mill, Charlotte (SC, NC); On-site; USD 156,000 - 261,000; Full time

Benefits offered by this job

401K matching

health benefits

employee stock options

paid time off

volunteer time off

Job summary

LPL Financial Holdings Inc. is seeking a senior leader to establish and mature the Enterprise Data Governance Risk & Controls function.

You will define the control framework, inventories, testing, monitoring, and reporting to mitigate data-related risk across the enterprise. As the first-line leader, you will collaborate with Product, Technology, Risk, Compliance, Legal, Operations, and Audit to embed robust controls throughout the data lifecycle and support regulatory readiness and trusted

Qualifications

• 10+ years in data governance, data management, data risk, controls, or equivalent in a regulated financial services environment.
• Experience designing, implementing, or advancing enterprise data governance and control frameworks, operating models, and inventories.
• Experience with data quality, lineage, classification, retention, critical data management, and controls across the data lifecycle.
• Experience establishing governance processes for control design, evidence, testing, monitoring, remediation, and risk reporting.
• Experience partnering across Product, Technology, Risk, Compliance, Legal, Operations, and Audit to deliver enterprise-scale outcomes.

Responsibilities

• Establish and lead the Enterprise Data Governance Risk & Controls function, including strategy, operating model, governance framework, accountability, and multi-year roadmap.
• Design and oversee a framework spanning data quality, lineage, classification, retention, privacy, cybersecurity, AI, and third-party data risk.
• Define standards for control design, inventories, documentation, evidence, testing, monitoring, issue management, remediation, and continuous improvement.
• Partner with Product, Technology, Business, Data Governance, and Responsible AI leaders to embed effective controls across the data lifecycle.
• Align first-line controls with Enterprise Risk, Operational Risk, Information Security Risk, Privacy, Compliance, Legal, Model Risk Management, and second-line requirements.

Skills

Data governance leadership

First-line risk ownership

RCSA & GRC

Executive communication

AI governance

Strategy & leadership

Job description

Build the control environment that earns trust in enterprise data. This newly created leadership role will establish LPL's first-line Enterprise Data Governance Risk & Controls capability, connecting governance standards to practical controls, measurable risk reduction, and clear executive visibility. You will shape the operating model, build durable partnerships across Product, Technology, Risk, Compliance, Legal, Operations, and Internal Audit, and help ensure trusted data supports client service, regulatory readiness, analytics, and responsible AI adoption.

Job Overview

The Vice President II, Enterprise Data Governance Risk & Controls is a senior leader within the Enterprise Data Governance & Responsible AI organization, reporting to the Senior Vice President, Data Governance & Responsible AI. As the first-line leader for enterprise data governance controls, this role establishes and matures the framework, control inventory, monitoring, issue-management, evidence, and reporting practices used to identify, assess, mitigate, and communicate data-related risk across the enterprise. The leader will work closely with first-, second-, and third-line partners to align data governance controls with the Enterprise Risk Management Framework, regulatory expectations, and sustainable business operations.

Responsibilities

• Establish and lead the Enterprise Data Governance Risk & Controls function, including its strategy, operating model, governance framework, accountability model, and multi-year maturity roadmap.
• Design and oversee an enterprise data governance risk and control framework spanning data quality, lineage, classification, retention, critical data, privacy, cybersecurity, AI, and third-party data risk.
• Define standards for control design, inventories, documentation, evidence, testing, monitoring, issue management, remediation, and continuous improvement.
• Partner with Product, Technology, Business, Data Governance, and Responsible AI leaders to embed effective controls throughout the data lifecycle without creating duplicative processes or testing.
• Align first-line controls with Enterprise Risk, Operational Risk, Information Security Risk, Privacy, Compliance, Legal, Model Risk Management, and other second-line requirements.
• Create enterprise metrics, key risk indicators, continuous monitoring, dashboards, and executive reporting that provide transparency into data risk posture and control effectiveness.
• Own the identification, escalation, remediation, and validated closure of data-related control gaps through established RCSA and GRC processes.
• Serve as the first-line lead for data governance audits, regulatory examinations, and risk assessments, coordinating evidence and demonstrating control design and operating effectiveness.
• Evaluate emerging regulatory, industry, and technology risks and translate them into pragmatic enhancements to the enterprise control environment.
• Build, lead, and develop a high-performing team while advising senior leaders on control maturity, risk strategy, investment priorities, and operational resilience.

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

1. 10 or more years of experience in data governance, data management, data risk, controls, or a related discipline within a regulated financial services environment.
2. Experience designing, implementing, or materially advancing enterprise data governance and control frameworks, operating models, and control inventories.
3. Experience with data quality, lineage, classification, retention, critical data management, and controls across the data lifecycle.
4. Experience establishing governance processes for control design, evidence, testing, monitoring, issue management, remediation, and risk reporting.
5. Experience partnering across Product, Technology, Risk, Compliance, Legal, Operations, and Audit to deliver enterprise-scale outcomes.

Core Competencies

• Enterprise data governance, data management, and data risk leadership
• First-line risk ownership, enterprise control design, testing, and monitoring
• RCSA, GRC, issue management, audit, and regulatory examination readiness
• Executive communication, organizational influence, and cross-functional partnership
• AI governance, privacy, information protection, cybersecurity, and third-party risk integration
• Strategic planning, change leadership, talent development, and continuous improvement

Preferences

• Experience building a new team, function, or enterprise capability from the ground up.
• Experience supporting audit, regulatory examinations, or governance programs and owning remediation through validated closure.
• Knowledge of enterprise risk management, operational risk, control management, and GRC technologies.
• Experience establishing KRIs, executive dashboards, continuous controls monitoring, or risk visualization.
• Experience with responsible AI, AI governance, or controls supporting the responsible use of data and artificial intelligence.

Pay Range

Pay Range: $156,354.00 - $260,590.00.

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.

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off
• and more

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, 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 thriving businesses. 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.

EEO

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 [phone].

Other Company Information

EAC 5.19.26 LPL Financial is the nation’s largest independent broker-dealer.

Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone.

LPL Financial creates the space to let you do what you do best - create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page.

Belief

* As reported by Financial Planning magazine, June 1996-2019, based on total revenue.