LPL Financial Holdings, Inc.
VP, AI Risk and Governance
LPL Financial Holdings, Inc., Pasco, Washington, us, 99302
The
Vice President,
AI Risk and Governance
will establish and oversee risk governance, including artificial intelligence and other programs to support a strong risk culture that prioritizes risk identification and collaboration across the three lines of defense. The position is responsible for the development and oversight of AI governance for internal and external stakeholders, inclusive of managing a risk based decision framework, overseeing the policy and committee governance for AI and models and designing and overseeing an ongoing monitoring program.
Responsibilities:
Establish and oversee risk training, communication, and partnership programs. Develop and implement AI related communications and trainings for internal and external stakeholders. Perform risk assessments and partner with subject matter experts to assess risks associated with AI solutions. Perform testing on AI solutions and design and implement an ongoing monitoring program. Monitor the regulatory landscape for evolving expectations for AI and models in alignment with our business model and design and implement necessary enhancements. Lead a team of professionals support AI governance and strategy. Produce and support the production of materials for executive level risk and governance committees. Draft newsletters, program announcements, and other communications and materials. Coordinate across Risk leads and business stakeholders for ongoing framework consistency. Adapt to the evolving needs of business partners and changes to the Risk & Compliance organization to assist in progressing the department strategy over time. Requirements:
7+ years of financial services experience. BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline). Prior leadership experience. 7+ years of experience in compliance or risk related roles (e.g., compliance, legal or risk) within financial services, preferably wealth management. Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy. Possesses contagious optimism, embraces change, is passionate about continuous learning, excels in fast-paced environments, and has an entrepreneurial mindset. Extensive experience preparing executive-level presentations; formal experience with strategic planning preferred. Strong analytical skills with proven ability to evaluate business opportunities and results against established objectives. Expert consensus-builder who drives change within and outside direct accountability; facilitates critical thinking to create solutions for the most complex business challenge.
Pay Range: $146,400.00 - $244,000.00
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!
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are
one team on one mission.
We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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
@lp
lfinancial.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.
Vice President,
AI Risk and Governance
will establish and oversee risk governance, including artificial intelligence and other programs to support a strong risk culture that prioritizes risk identification and collaboration across the three lines of defense. The position is responsible for the development and oversight of AI governance for internal and external stakeholders, inclusive of managing a risk based decision framework, overseeing the policy and committee governance for AI and models and designing and overseeing an ongoing monitoring program.
Responsibilities:
Establish and oversee risk training, communication, and partnership programs. Develop and implement AI related communications and trainings for internal and external stakeholders. Perform risk assessments and partner with subject matter experts to assess risks associated with AI solutions. Perform testing on AI solutions and design and implement an ongoing monitoring program. Monitor the regulatory landscape for evolving expectations for AI and models in alignment with our business model and design and implement necessary enhancements. Lead a team of professionals support AI governance and strategy. Produce and support the production of materials for executive level risk and governance committees. Draft newsletters, program announcements, and other communications and materials. Coordinate across Risk leads and business stakeholders for ongoing framework consistency. Adapt to the evolving needs of business partners and changes to the Risk & Compliance organization to assist in progressing the department strategy over time. Requirements:
7+ years of financial services experience. BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline). Prior leadership experience. 7+ years of experience in compliance or risk related roles (e.g., compliance, legal or risk) within financial services, preferably wealth management. Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy. Possesses contagious optimism, embraces change, is passionate about continuous learning, excels in fast-paced environments, and has an entrepreneurial mindset. Extensive experience preparing executive-level presentations; formal experience with strategic planning preferred. Strong analytical skills with proven ability to evaluate business opportunities and results against established objectives. Expert consensus-builder who drives change within and outside direct accountability; facilitates critical thinking to create solutions for the most complex business challenge.
Pay Range: $146,400.00 - $244,000.00
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!
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are
one team on one mission.
We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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
@lp
lfinancial.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.