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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.
Descriere
- 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.
Cerințe
- 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.
Beneficii
- 401(k) matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- Competitive LPL Total Rewards package