Vice President, Assistant General Counsel - AI

LPL Financial•Washington, DC

About The Position

LPL is seeking a highly skilled and experienced Vice President, AI Attorney to join our Legal Privacy team. This role will provide strategic legal counsel on the development, deployment, and oversight of artificial intelligence (AI) technologies across our broker-dealer and investment advisory operations. The ideal candidate will have a strong foundation in AI governance, technology, cybersecurity, and data privacy, with the ability to navigate complex legal and regulatory frameworks in a fast-paced financial services environment.

Requirements

Juris Doctor (JD) from an accredited law school; licensed to practice in at least one U.S. jurisdiction.
8–12+ years of legal experience, with a strong background in: AI, data privacy, cybersecurity, and technology law.
Broker-dealer and registered investment advisory regulatory compliance (SEC, FINRA, MSRB).
Deep understanding of AI governance, data protection laws (e.g., Reg. S-P, GDPR, CCPA), and emerging AI regulations.
Familiarity with cloud computing, outsourcing, and third-party risk management.
Knowledge of AI model training, data usage, and intellectual property issues related to AI.
Ability to translate complex AI and regulatory concepts into actionable legal advice.
Strong drafting and negotiation skills for AI vendor contracts and data-sharing agreements.
Experience advising on AI model validation, surveillance algorithms, and automated compliance tools.
Strong analytical and problem-solving skills.
Excellent written and verbal communication.
Ability to manage multiple priorities in a fast-paced, high-stakes environment.
Collaborative mindset with the ability to work across legal, compliance, risk, and technology teams.

Nice To Haves

Experience advising on AI model governance, algorithmic accountability, and data ethics.
Familiarity with securities laws, data mapping, and product development.
Strong contract negotiation and drafting skills.
In-house experience in a financial services organization a plus.

Responsibilities

Advise on legal and regulatory issues related to the use of AI in broker-dealer functions, including trade surveillance, client onboarding, and compliance automation.
Draft, review, and negotiate contracts involving AI technologies, data usage, and third-party vendors.
Collaborate with compliance, risk, and technology teams to develop and implement AI governance frameworks.
Monitor and interpret evolving AI regulations (e.g., SEC, FINRA, EU AI Act) and assess their impact on business operations.
Provide legal support for AI model validation and development, explainability, accuracy and risk assessments.
Support incident response and regulatory inquiries involving AI systems or data.
Educate internal stakeholders on legal risks and best practices related to AI and data governance.

Benefits

LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

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