LPL Financial sniedz aktīvu pārvaldības pakalpojumus un tehnoloģijas finanšu nozares profesionāļiem, iestādēm un individuālajiem investoriem. Tās platforma apvieno konsultantu atbalstu, konsultācijas, ieguldījumu izpēti, tehnoloģiju integrāciju un uzņēmējdarbības attīstības resursus, lai palīdzētu finanšu konsultantiem veidot savu praksi un sniegt personalizētus padomus. Uzņēmums darbojas finanšu, apdrošināšanas un konsultāciju jomā, un tā pakalpojumi ir paredzēti gan jau izveidotu uzņēmumu, gan augošu konsultāciju uzņēmumu atbalstam.
AVP, AI Risk and Governance at LPL Financial
Lead enterprise AI governance at LPL Financial, overseeing AI risk, approvals, policies, and reporting. Coordinate responsible AI adoption across a regulated wealth management organization.
Apraksts
- Lead execution of the enterprise AI Governance Program and help shape its strategy, operating model, priorities, and roadmap.
- Manage the full AI use case lifecycle, from intake and review through approval, monitoring, change, and retirement.
- Ensure AI use cases are documented, classified, assessed, approved, inventoried, and governed in line with policy and risk requirements.
- Coordinate AI risk assessments with subject matter experts and control functions.
- Maintain the enterprise AI use case inventory, including ownership, data quality, status, risk classifications, approvals, exceptions, dependencies, and lifecycle details.
- Run AI governance committees and working groups, managing agendas, materials, facilitation, minutes, decision records, approvals, actions, and escalations.
- Maintain AI governance policies, standards, procedures, and guidance.
- Oversee policy exception and governance waiver processes.
- Design and improve governance workflows, roles, decision rights, service expectations, documentation standards, and escalation protocols.
- Monitor program indicators, identify trends, and lead process improvements.
- Create dashboards, metrics, committee reports, and executive insights.
- Track risks, approval conditions, issues, and remediation commitments through resolution; escalate overdue or material concerns.
- Work with Technology, Information Security, Data Governance, Privacy, Compliance, Legal, Enterprise Risk Management, Internal Audit, and business teams.
- Support regulatory examinations, Internal Audit reviews, independent assessments, and other AI governance inquiries.
- Track regulatory developments, industry frameworks, and emerging AI governance practices.
- Create training, communications, procedures, and job aids.
- Advance responsible innovation, accountability, transparency, collaboration, and ongoing improvement.
Prasības
- Bachelor’s degree in risk management, business, information technology, data, law, compliance, public policy, or a related field.
- At least 5–8 years of progressive experience in governance, risk, compliance, technology or data governance, program management, operational risk, or a related area in financial services or another highly regulated industry.
- Recent experience in an enterprise AI Governance program.
- Experience running enterprise governance processes, including intake, risk assessments, policy administration, committee operations, approvals, issue tracking, and reporting.
- Strong process management and program execution skills.
- Experience coordinating complex risk assessments across business, technology, legal, compliance, privacy, security, data, and risk stakeholders.
- Ability to turn evolving regulatory requirements into practical policies, procedures, controls, and operating processes.
- Experience preparing executive materials, governance committee reports, metrics, dashboards, decision records, and program documentation.
- Strong understanding of governance, risk, and control principles, including issue and policy management, exceptions, risk acceptance, and lifecycle oversight.
- Excellent written and verbal communication, sound judgment, attention to detail, and ability to influence effectively.
- Experience leading teams or cross-functional workstreams while managing competing priorities.
- Preferred: experience with AI, machine learning, generative AI, model governance, data governance, emerging technology, or responsible AI programs.
- Preferred: experience in broker-dealer, wealth management, advisory, banking, capital markets, or another highly regulated financial services setting.
- Preferred: familiarity with AI governance frameworks and standards, including the NIST AI Risk Management Framework.
- Preferred: experience with Governance, Risk and Compliance platforms, workflow tools, inventory systems, reporting solutions, or similar governance technology.
- Preferred: professional certification in risk, compliance, audit, privacy, technology, data, project management, or a related field.
- Preferred: experience in governance transformation, process redesign, workflow automation, regulatory remediation, or program maturity initiatives.
Priekšrocības
- 401(k) matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- Competitive LPL Total Rewards package