Assistant Vice President, AI Risk and Governance

Job Overview:

At LPL Financial, we are seeking a dynamic and highly analytical Assistant Vice President (AVP) to join our Artificial Intelligence (AI) Risk and Governance team. The AVP will support the Vice President in establishing and overseeing AI risk and governance, with a focus on comprehensive cross-functional monitoring. This role involves managing and establishing AI governance frameworks, performing risk assessments, and ensuring compliance with regulatory requirements. With a strong analytical background, the AVP will collaborate with technology stakeholders to support a robust risk culture.

Responsibilities:

• Design, implement and oversee AI monitoring strategies/programs to evaluate AI solutions for model robustness, adversarial risks and ongoing performance.
• Conduct risk assessments and gap analyses on AI solutions to identify and evaluate risks and ensure compliance with internal policies and external regulations.
• Evaluate solutions for AI governance practices such as bias mitigation techniques and explainability methodologies.
• Collaborate with cross functional teams to ensure AI models align with AI risk frameworks and requirements.
• Assist in establishing and overseeing AI risk governance frameworks, including policy development and committee governance.
• Ensure adherence to industry best practices, such as NIST AI Risk Management Framework, ISO AI standards as well as emerging AI regulations.
• Monitor the regulatory landscape for evolving AI requirements and best practices to ensure alignment with risk processes and frameworks.
• Produce and support the production of materials for executive-level risk and governance committees.
• Coordinate across risk and business stakeholders to ensure framework consistency.
• Adapt to the evolving needs of business partners and changes within the Risk & Compliance organization.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Bachelor's degree in computer science, Engineering, Risk Management, Finance, or a related discipline.
• 5+ years in risk management or compliance-related roles with a background in financial services.
• Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy with excellent written and verbal communication skills.
• Strong problem-solving skills with the ability to evaluate business opportunities and results against established objectives.
• Ability to drive change and facilitate critical thinking to create solutions for complex business challenges.

Preferences:

• The ideal candidate has a strong background in enterprise, technology and model risk management frameworks.
• Advanced degree preferred.
• Experience preferably within AI or technology risk management.
• Advanced level understanding of AI technologies, models and operational risks in the use of AI systems.
• Experience preparing executive-level presentations.
• In-depth knowledge of AI-related regulations, standards and industry best practices, such as the NIST AI Risk Management Framework and ISO AI standards is preferred.
• Prior leadership experience with a proven ability to lead and mentor teams is a plus.
• Relevant certifications such as Certified Information Systems Security Professional (CISSP), Certified Risk Management Professional (CRMP), or similar are a plus.

#LI-PA

Pay Range:
$103,425-$172,375/year
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. Additionally, 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. Your recruiter will be happy to discuss all that LPL has to offer!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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 a thriving business. 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.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
• Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
• Impactful Work: Our size is just right for you to make a real impact. Learn more here!
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. 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 (855) 575-6947.

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