AVP, AI Risk and Governance

LPL Financial

. Lead day-to-day execution of the enterprise AI Governance Program and support its strategy, operating model, priorities, and capability roadmap .

Posted 10/14/2026full-timeUnited StatesLead💰 $106,502 - $177,572 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in AI Governance, Risk Management, and Compliance, with a strong focus on program execution, policy administration, and cross-functional collaboration. Proficient in developing governance frameworks, metrics, and reporting for effective oversight and continuous improvement.

Highest-signal resume keywords

AI Governance Program ManagementRisk Assessment CoordinationPolicy AdministrationGovernance Committee ReportingProcess Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

GovernanceRisk ManagementComplianceProgram ManagementData GovernancePolicy ManagementIssue TrackingMetrics DevelopmentWorkflow AutomationRegulatory Remediation

Soft Skills

Exceptional Communication SkillsAttention to DetailInfluencing SkillsSound JudgmentCollaboration

Tools & Technologies

Governance, Risk and Compliance PlatformsWorkflow ToolsInventory SystemsReporting SolutionsAI Governance Frameworks

Certifications & Qualifications

Risk Management CertificationCompliance CertificationAudit CertificationPrivacy CertificationProject Management Certification

Industry Keywords

Financial ServicesHighly Regulated IndustryBroker-DealerWealth ManagementCapital MarketsNIST AI Risk Management FrameworkEmerging TechnologyResponsible AI

About the role

Key responsibilities & impact

Lead day-to-day execution of the enterprise AI Governance Program and support its strategy, operating model, priorities, and capability roadmap
Own and administer the end-to-end AI use case intake, triage, review, approval, change, monitoring, and retirement workflow
Ensure AI use cases are documented, classified, assessed, approved, inventoried, and governed according to policy and risk-based requirements
Coordinate AI risk assessments across subject matter experts and control functions
Manage the enterprise AI use case inventory, including data quality, ownership, status, risk classification, approvals, exceptions, dependencies, and lifecycle information
Administer AI governance committees and working groups, including agendas, materials, meeting facilitation, minutes, decision records, approvals, action items, and escalation tracking
Manage AI governance policies, standards, procedures, and supporting guidance
Oversee policy exception and governance waiver processes
Design, maintain, and improve governance workflows, roles, decision rights, service-level expectations, documentation standards, and escalation protocols
Monitor program indicators, identify trends, and drive process improvements
Develop dashboards, metrics, committee reporting, and executive-level insights
Track risks, approval conditions, issues, and remediation commitments through closure and escalate overdue or material matters
Partner 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
Monitor regulatory developments, industry frameworks, and emerging AI governance practices
Develop training, communications, procedures, and job aids
Promote responsible innovation, accountability, transparency, collaboration, and continuous improvement

Requirements

What you’ll need

Bachelor’s degree in Risk Management, Business, Information Technology, Data, Law, Compliance, Public Policy, or a related discipline
5-8+ years of progressive experience in governance, risk management, compliance, technology governance, data governance, program management, operational risk, or a related discipline within financial services or another highly regulated industry
Recent experience within an enterprise AI Governance program
Experience operating enterprise governance processes, including intake workflows, risk assessments, policy administration, committee management, approvals, issue tracking, and reporting
Strong process management and program execution capabilities
Experience coordinating complex risk assessments across business, technology, legal, compliance, privacy, security, data, and risk stakeholders
Ability to translate evolving regulatory requirements into practical policies, procedures, controls, and operating processes
Experience developing executive-level materials, governance committee reporting, metrics, dashboards, decision records, and program documentation
Strong knowledge of governance, risk, and control principles, including issue management, policy management, exceptions, risk acceptance, and lifecycle oversight
Exceptional written and verbal communication skills, sound judgment, attention to detail, and ability to influence effectively
Experience leading teams or cross-functional workstreams and managing multiple priorities
Preferred: experience supporting 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 other highly regulated financial services
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 comparable governance technology
Preferred: professional certification in risk, compliance, audit, privacy, technology, data, project management, or a related discipline
Preferred: experience contributing to governance transformation, process redesign, workflow automation, regulatory remediation, or program maturity initiatives

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Competitive LPL Total Rewards package