LPL Financial

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: We are seeking an experienced Vice President of AI Governance & Responsible AI to lead the development and implementation of comprehensive AI governance frameworks within our company. Reporting to the Senior Vice President of Data Governance & Responsible AI, this strategic leadership role requires 10+ years of expertise in AI governance, ethics, and risk management, with a deep understanding of the financial services’ regulatory requirements. The ideal candidate will establish responsible AI principles, drive ethical AI adoption, enable technical innovation and ensure compliance with evolving regulatory standards while enabling business value from AI technologies. This role will work at the intersection of technology, risk management, regulatory compliance, and business strategy, partnering with executive leadership, data science teams, legal, compliance, and business units to embed responsible AI practices throughout the organization. Responsibilities: Design, implement, and continuously improve enterprise-wide AI governance frameworks that align with regulatory requirements, industry best practices, and organizational values Establish and chair AI governance committees, including AI Ethics Boards and Model Risk Management forums, to oversee AI development, deployment, and monitoring Develop responsible AI principles, policies, and standards addressing fairness, transparency, explainability, accountability, privacy, and safety Create and maintain AI governance documentation including charters, playbooks, standard operating procedures, and decision frameworks Ensure AI systems comply with financial services regulations including FCRA, ECOA, fair lending laws, model risk management guidance (SR 11-7), and emerging AI-specific regulations Develop and implement AI risk assessment frameworks to identify, measure, monitor, and mitigate risks including algorithmic bias, model drift, data quality issues, and adversarial threats Collaborate with Legal, Compliance, and Risk Management teams to interpret regulatory guidance and translate requirements into actionable technical controls Lead regulatory examinations and audits related to AI systems, preparing documentation and responding to examiner inquiries Establish model validation standards and processes for AI/ML models across the organization, including testing for bias, fairness, and robustness Implement AI model inventory and lifecycle management systems to track models from development through deployment and retirement Define and implement explainability and interpretability requirements for AI systems, ensuring stakeholders can understand model decisions Partner with technology teams to embed governance controls in AI development platforms, MLOps pipelines, and production environments Build partnerships across business units, technology, risk management, compliance, legal, and human resources to embed responsible AI practices Develop and deliver training programs on responsible AI, AI ethics, and governance requirements for technical and non-technical audiences Establish metrics and KPIs to measure the effectiveness of AI governance programs and responsible AI practices Develop ongoing monitoring capabilities for deployed AI systems to detect performance degradation, bias drift, and compliance issues Stay current with emerging AI technologies, governance frameworks, regulatory developments, and industry best practices, adapting organizational approaches accordingly What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements: 10+ years of progressive experience in AI governance, Responsible AI, AI Ethics, or related fields, with at least 5 years in Financial Services Experience with AI/ML technologies, including supervised and unsupervised learning, deep learning, natural language processing, and generative AI Demonstrated expertise in developing and implementing AI governance frameworks in regulated financial services environments Experience with AI risk management, including bias detection and mitigation, model validation, and adversarial robustness testing Experience managing regulatory examinations, audits, or third-party assessments related to AI/ML system Core Competencies: AI Ethics & Responsible AI: Deep understanding of ethical frameworks for AI development and deployment, including fairness, accountability, transparency, and explainability principles Governance & Risk Management: Expertise in designing and implementing governance structures, control frameworks, and risk management processes for AI systems Comprehensive knowledge of financial services regulations affecting AI systems, including model risk management, fair lending, consumer protection, and data privacy laws Technical Proficiency: Strong foundation in machine learning algorithms, model development lifecycle, MLOps practices, and AI infrastructure Familiarity with emerging AI technologies including large language models, generative AI, and foundation models, and their governance implications Regulatory Acumen: In-depth knowledge of financial services regulatory environment and ability to anticipate and respond to regulatory changes Strategic Thinking: Ability to balance innovation with risk management, enabling responsible AI adoption while protecting the organization Leadership & Influence: Track record of driving organizational change, building consensus among diverse stakeholders, and leading high-performing teams Business Acumen: Understanding of financial services business models, products, and customer lifecycle to contextualize AI governance decisions Analytical & Problem-Solving Skills: Ability to analyze complex technical and organizational challenges and develop pragmatic solutions Strong technical background with ability to evaluate AI architectures, algorithms, and implementation approaches Excellent communication skills with ability to translate complex technical concepts for diverse audiences Experience leading cross-functional initiatives and influencing stakeholders at all organizational levels, including executive leadership and board members Preferences: Advanced degree (Master's or PhD) in Computer Science, Data Science, Statistics, Engineering, Ethics, Law, or related field Professional certifications such as Certified Information Systems Security Professional (CISSP), Certified Information Privacy Professional (CIPP), or Certified AI Practitioner Experience working with AI governance frameworks such as NIST AI Risk Management Framework, EU AI Act requirements, or ISO/IEC standards Hands-on experience with AI/ML development tools and platforms (e.g., Python, TensorFlow, PyTorch, cloud ML services) Experience implementing AI governance technology solutions such as model risk management platforms, bias detection tools, or ML observability systems Background in multiple domains such as credit risk, fraud detection, algorithmic trading, or customer analytics within financial services Experience with large-scale organizational transformation initiatives related to AI, data, or technology governance #LI-Hybrid Pay Range: $135,960.00 - $226,600.00 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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. 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. For further information about LPL, please visit www.lpl.com. 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. EAC12.9.25 LPL Financial is the nation’s largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. * As reported by Financial Planning magazine, June 1996-2019, based on total revenue. Want to learn more about the benefits of working at LPL? Check out the links below! We Are LPL Benefits Culture Social Responsibility