Vice President, AI Risk and Governance

LPL Financial

. Own and evolve the enterprise AI Governance Framework, including policies, standards, risk taxonomy, risk-tiering methodology, approval authorities, decision rights, lifecycle requirements, monitoring expectations, and escalation protocols .

Posted 10/14/2026full-timeUnited StatesLead💰 $137,093 - $228,454 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in AI Governance Framework development, risk management, and compliance within highly regulated industries. Proven ability to lead teams, challenge AI solutions, and translate regulatory requirements into actionable governance strategies.

Highest-signal resume keywords

AI Governance Framework DevelopmentRisk ManagementArtificial Intelligence OversightModel Risk ManagementRegulatory Compliance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Artificial IntelligenceMachine LearningData Risk ManagementModel ValidationTechnical ArchitectureControl TestingGenerative AILarge Language ModelsAI AssuranceAdvanced Analytics

Soft Skills

LeadershipStrategic DirectionIndependent ReviewStakeholder CommunicationDecision-Making

Tools & Technologies

NIST AI Risk Management FrameworkISO/IEC 42001ISO/IEC 23894

Certifications & Qualifications

AIGPCRISCCISSPCISMCISAFRM

Industry Keywords

Financial ServicesCybersecurityComplianceAuditRegulated Industry

Tech Stack

Tools & technologies

Cyber Security

About the role

Key responsibilities & impact

Own and evolve the enterprise AI Governance Framework, including policies, standards, risk taxonomy, risk-tiering methodology, approval authorities, decision rights, lifecycle requirements, monitoring expectations, and escalation protocols
Set the strategic direction and target operating model for AI governance
Translate regulatory developments and emerging AI risks into practical, examination-defensible requirements
Provide independent review and credible challenge of AI and machine learning use cases, including generative AI, large language models, AI agents, predictive models, embedded vendor capabilities, and other AI-enabled solutions
Evaluate AI solutions at the architecture, model, data, integration, security, third-party, control, and operating-process levels
Challenge business and technical owners on use-case design, data suitability and lineage, model behavior, testing, validation, human oversight, guardrails, access, monitoring, incident response, change management, and decommissioning
Chair or lead enterprise AI governance forums and drive risk-based decisions
Document, assign, monitor, and escalate material conditions, exceptions, risk acceptances, and unresolved matters
Serve as the senior AI governance advisor to executive leadership
Establish accountability across Business, Technology, Information Security, Data Governance, Privacy, Legal, Compliance, Model Risk, Third-Party Risk, Enterprise Risk Management, and Internal Audit
Define key risk indicators, performance measures, portfolio insights, and executive reporting
Oversee regulatory examinations, Internal Audit reviews, independent assessments, and other inquiries involving AI governance
Translate identified gaps into sustainable remediation
Build and lead a high-performing AI governance team
Promote responsible innovation through timely, practical governance

Requirements

What you’ll need

Bachelor’s degree in Computer Science, Data Science, Engineering, Information Systems, Risk Management, Finance, Law, Public Policy, or a related discipline
10+ years of progressive experience in technology risk, model risk, artificial intelligence governance, cybersecurity, data risk, compliance, audit, or a related control discipline within financial services or another highly regulated industry
5+ years of direct experience reviewing, governing, validating, auditing, implementing, or overseeing artificial intelligence, machine learning, advanced analytics, or model-based solutions
Experience challenging AI solutions at the architecture, model, data, and control levels
Experience establishing or materially enhancing an enterprise governance, risk, or control framework
Advanced working knowledge of AI and machine learning concepts, including generative AI, large language models, retrieval-augmented generation, AI agents, training and inference, prompt-based systems, model evaluation, monitoring, and third-party AI services
Deep understanding of AI risk domains, including model performance, explainability, bias and fairness, data quality and lineage, privacy, cybersecurity, intellectual property, recordkeeping, consumer protection, third-party dependency, resilience, and operational integration
Ability to make and defend difficult risk recommendations when facts are incomplete, stakeholders disagree, or business pressure is significant
Experience advising executives and governance committees and representing a program in regulatory examinations, Internal Audit reviews, or comparable independent challenge
Prior people leadership experience
Preference for experience leading AI governance, responsible AI, AI assurance, model risk, AI audit, or emerging technology risk within a regulated financial institution
Preference for hands-on experience with AI development, model validation, technical architecture, technology risk assessment, control testing, or AI assurance
Preference for knowledge of the NIST AI Risk Management Framework, ISO/IEC 42001, ISO/IEC 23894, model risk management principles, and emerging U.S. and global AI regulatory expectations
Relevant professional certification such as AIGP, CRISC, CISSP, CISM, CISA, FRM, or comparable credential is preferred

Benefits

Comp & perks

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