AVP, AI Risk and Governance

LPL Financial•Charlotte, VA

12h

About The Position

The Assistant Vice President, AI Governance leads the day-to-day execution and administration of LPL Financial’s enterprise AI Governance Program. The role manages the complete governance lifecycle for AI use cases, from intake and risk assessment through review, approval, monitoring, and retirement. It ensures that AI initiatives are consistently identified, documented, classified, assessed, approved, inventoried, and governed according to policy and risk-based requirements. Serving as a central coordination point across Technology, Information Security, Data Governance, Privacy, Compliance, Legal, Enterprise Risk Management, Internal Audit, and business stakeholders, the AVP enables responsible AI adoption with clear accountability and effective oversight. The position also supports the program’s strategy, operating model, priorities, and capability roadmap; maintains governance policies and processes; and promotes continuous improvement, transparency, collaboration, and responsible innovation. The role monitors regulatory developments and industry practices, supports examinations and audits, and develops reporting, training, communications, procedures, and job aids to support consistent governance across the firm.

Requirements

Bachelor’s degree in Risk Management, Business, Information Technology, Data, Law, Compliance, Public Policy, or a related discipline.
5–8+ years of progressive experience in governance, risk management, compliance, technology governance, data governance, program management, operational risk, or a related discipline within financial services or another highly regulated industry.
Recent experience within an enterprise AI Governance program.
Experience operating enterprise governance processes, including intake workflows, risk assessments, policy administration, committee management, approvals, issue tracking, and reporting.
Strong process management and program execution capabilities, including establishing workflows, accountability, documentation standards, and escalation routines.
Experience coordinating complex risk assessments and governance decisions across business, technology, legal, compliance, privacy, security, data, and risk stakeholders.
Ability to translate evolving regulatory requirements and governance expectations into practical policies, procedures, controls, and operating processes.
Experience developing executive-level materials, governance committee reporting, metrics, dashboards, decision records, and program documentation.
Strong knowledge of governance, risk, and control principles, including issue management, policy management, exceptions, risk acceptance, and lifecycle oversight.
Exceptional written and verbal communication skills, sound judgment, attention to detail, and ability to influence effectively across a complex organization.
Experience leading teams or cross-functional workstreams and managing multiple priorities in a fast-moving environment.

Nice To Haves

Experience supporting artificial intelligence, machine learning, generative AI, model governance, data governance, emerging technology, or responsible AI programs.
Experience supporting a broker-dealer, wealth management, advisory, banking, capital markets, or another highly regulated financial services business.
Familiarity with AI governance frameworks and standards, including the NIST AI Risk Management Framework or comparable industry approaches.
Experience with Governance, Risk and Compliance platforms, workflow tools, inventory systems, reporting solutions, or comparable governance technology.
Professional certification in risk, compliance, audit, privacy, technology, data, project management, or a related discipline.
Experience contributing to governance transformation, process redesign, workflow automation, regulatory remediation, or program maturity initiatives.

Responsibilities

Lead day-to-day execution of the enterprise AI Governance Program and support its strategy, operating model, priorities, and capability roadmap.
Own and administer the end-to-end AI use case workflow, including intake, triage, review, approval, change, monitoring, and retirement.
Ensure AI use cases are documented, classified, assessed, approved, inventoried, and governed according to policy and risk-based requirements.
Coordinate AI risk assessments across subject matter experts and control functions, documenting reviews, decisions, approval conditions, and residual risks.
Manage the enterprise AI use case inventory, including data quality, ownership, status, risk classification, approvals, exceptions, dependencies, and lifecycle information.
Administer AI governance committees and working groups, including agendas, materials, facilitation, minutes, decision records, approvals, action items, and escalation tracking.
Manage AI governance policies, standards, procedures, and guidance, including periodic reviews, stakeholder approvals, publication, communications, and implementation tracking.
Oversee policy exception and governance waiver processes, ensuring appropriate rationale, risk acceptance, compensating controls, approvals, and expiration requirements.
Design, maintain, and improve governance workflows, roles, decision rights, service-level expectations, documentation standards, and escalation protocols.
Monitor intake volumes, cycle times, assessment status, approvals, policy compliance, exceptions, remediation commitments, and other program indicators; identify trends and process improvements.
Develop dashboards, metrics, committee reporting, and executive-level insights on the AI inventory, governance activity, material risks, exceptions, issues, and program maturity.
Track risks, approval conditions, issues, and remediation commitments through closure; escalate overdue or material matters through appropriate governance channels.
Partner with Technology, Information Security, Data Governance, Privacy, Compliance, Legal, Enterprise Risk Management, Internal Audit, and business teams to coordinate governance coverage.
Support regulatory examinations, Internal Audit reviews, independent assessments, and inquiries concerning AI governance processes, records, and controls.
Monitor regulatory developments, industry frameworks, and emerging AI governance practices; coordinate updates to policies, processes, assessment requirements, and committee oversight.
Develop training, communications, procedures, and job aids to clarify AI governance requirements and support consistent adoption across the firm.
Promote responsible innovation, accountability, transparency, collaboration, and continuous improvement.