Vice President II, AI Risk and Governance

LPL Financial•Charlotte, VA

About The Position

The Vice President II, AI Risk and Governance leads LPL Financial’s enterprise artificial intelligence risk and governance function. The role is accountable for establishing and executing a multi-year AI risk strategy, governance framework, and operating model across business, technology, and control functions. It oversees AI governance, risk assessment, model risk management, ongoing monitoring, control testing, and governance programs supporting the firm’s business functions, financial professionals, and institutional partners. The position establishes priorities, decision rights, risk standards, and control expectations for the development, acquisition, deployment, and ongoing use of AI. As a senior advisor and credible challenge partner to executive leadership, the role translates complex technical, regulatory, and operational risks into clear business decisions, balancing responsible AI adoption with regulatory expectations, customer protection, operational resilience, and strategic objectives. It requires significant autonomy, technical and regulatory expertise, and the ability to build and lead a complex risk function in a rapidly evolving environment. The role works across the firm to align AI requirements and accountability throughout the AI lifecycle, represents AI Risk and Governance in examinations and independent reviews, and builds organizational capability by attracting, developing, and retaining senior leaders and specialized AI risk talent.

Requirements

Bachelor’s degree in Computer Science, Engineering, Risk Management, Economics, Finance, Data Science, Information Systems, or a related discipline.
12 or more years of progressively responsible experience across risk management, technology risk, model risk, compliance, data governance, cybersecurity, artificial intelligence, or another relevant control discipline; preferably within a regulated financial institution.
5 or more years of experience in AI, machine learning, model risk, data science governance, technology governance, or AI-related risk and compliance.
Demonstrated experience establishing and executing multi-year strategies, operating models, risk frameworks, or enterprise governance programs.
Experience leading in a regulated environment and supporting regulatory examinations, internal audits, independent reviews, or material remediation programs.
Advanced knowledge of AI and machine-learning technologies and risks, with the technical depth to independently evaluate and credibly challenge AI architectures, development, testing, deployment controls, and monitoring.
In-depth knowledge of AI-related regulatory developments, industry standards, and recognized risk-management frameworks, including the NIST AI Risk Management Framework and applicable ISO standards.

Nice To Haves

Advanced degree.
Relevant professional certification, such as Artificial Intelligence Governance Professional, Certified Information Systems Security Professional, Financial Risk Manager, Certified Risk Management Professional, or a comparable AI, privacy, cybersecurity, technology, or risk credential.

Responsibilities

Establish and execute the firm’s multi-year AI risk and governance strategy, aligned with enterprise objectives, technology strategy, risk appetite, and regulatory obligations.
Lead an integrated enterprise function spanning AI governance, models and monitoring, model risk management, control testing, and governance partnership programs.
Develop and maintain the enterprise AI governance framework, including policies, standards, risk-classification methodologies, approval requirements, control expectations, and governance forums.
Advise executive leadership and shape firm-wide decisions regarding AI risk, adoption, deployment readiness, investment, prioritization, and risk acceptance.
Lead executive-level AI risk and governance forums, elevate material decisions, and ensure clear accountability for resulting actions.
Establish enterprise requirements for AI risk assessment, due diligence, model risk management, monitoring, control testing, issue management, and executive reporting; ensure relevant documentation is model ready.
Establish and enforce governance frameworks supporting AI use across business functions, financial professionals, institutional partners, and other applicable business models.
Partner with Technology, Cybersecurity, Privacy, Legal, Compliance, Procurement, Third-Party Risk, Data Governance, Transformation, Operational Risk, and Internal Audit to align requirements and clarify accountability across the AI lifecycle.
Define AI-specific risk requirements for third-party products, services, models, data, and technology.
Represent AI Risk and Governance during regulatory examinations, internal audits, and other independent reviews.
Build sustainable organizational capability by attracting, developing, and retaining senior leaders and specialized AI risk talent.
Adapt the function’s strategy, operating model, and capabilities in response to changes in AI technology, business adoption, regulatory expectations, and the firm’s risk profile.