AVP, Digital Enablement

LPL Financial•Fort Mill, SC

9d•$104,648 - $174,482

About The Position

Serves as a senior analytical contributor and emerging leader within the Digital Enablement Supervision team, responsible for managing a complex and strategically significant portfolio of supervisory AI models across their full lifecycle – from deployment through ongoing governance, enhancement, and, where warranted, retirement. Operates as a subject-matter authority on model performance, change management, and governance execution – bridging the gap between technical model capabilities and practical supervisory outcomes, and supporting the VP in translating the firm’s AI strategy into well-governed, high-performing model operations. Leads and mentors Model Managers, providing day-to-day guidance, quality assurance on analytical work product, and developmental coaching – serving as the connective layer between the analyst team and the VP. Brings a proactive, ownership-oriented mindset to model quality and governance – independently identifying issues, designing solutions, and driving execution without requiring close direction from the VP on routine matters.

Requirements

5+ years of experience in financial services with meaningful exposure to supervision, compliance, model risk management, or regulatory operations.
Bachelor’s degree in Business, Finance, Data Analytics, or a related field required.
Experience supporting or managing analytical or AI model lifecycles within a financial services or similarly regulated environment – including monitoring validation and change management activities.
Working knowledge of FINRA, SEC, and NASAA regulatory frameworks as they relate to supervisory obligations and first-line control environments.
Experience collaborating across compliance, technology, and operations functions, with the ability to translate technical model concepts for non-technical supervisory audiences.
Proficiency in Microsoft Word, Excel, PowerPoint, experience with data visualization tools, query languages (SQL), or model monitoring platforms strongly preferred.
Analytical and critical-thinking skills, with the ability to identify patterns in model performance data, diagnose root causes, and develop well-reasoned, actionable recommendations.
Written and verbal communication skills, with experience preparing concise, professional reports and presenting findings to management-level stakeholders.
Organized and detail-oriented, with the ability to manage multiple concurrent model workstreams with accuracy and professionalism.
A genuine intellectual curiosity about AI, machine learning, and the application of emerging technologies to regulatory and supervisory challenges.

Nice To Haves

FINRA Series 7; willingness and eligibility to obtain required upon hire.
Additional FINRA licensing (Series 24, 66)

Responsibilities

Provide structured, evidence-based pipeline recommendations to the VP – identifying emerging model development needs, sequencing considerations, and retirement candidates based on performance trends, regulatory shifts, and evolving supervisory task requirements.
Assess models against changing business needs and regulatory requirements, recommending retirement or replacement when continued deployment is no longer warranted or cost-effective.
Contribute to the curation and grooming of the AI model development pipeline, offering analytical perspective on prioritization, resource requirements, and anticipated supervisory impact.
Maintain examination-ready governance documentation for all assigned models – ensuring version histories, change logs, validation records, risk assessments, and performance scorecards are complete, current, and audit-navigable at all times.
Prepare and present model performance reports, scorecards, and pipeline status updates for VP review, clearly communicating trends, risks, and recommended actions in a polished, executive-ready format.
Participate in governance forums and cross-functional working groups, representing the model management function and contributing to broader AI governance and supervisory transformation discussions.