SVP, Technology Risk & AI Governance at LPL Financial… · Charlotte

SVP, Technology Risk & AI Governance
Location: Fort Mill/Charlotte
Position Summary
The SVP, Technology Risk & AI Governance is the enterprise leader accountable for enabling the responsible, secure, and scalable use of artificial intelligence. This executive will set the vision, operating model, policies, guardrails, and oversight needed to accelerate AI adoption while managing model, data, privacy, cybersecurity, ethical, compliance, and third-party risks.

The role requires a proven technology risk executive. Deep experience leading enterprise technology, cybersecurity, data, controls, and regulatory risk programs is a foundational expectation and the platform from which this leader will build and mature AI governance. The primary mandate is to translate that risk leadership into practical AI governance that protects the enterprise without slowing responsible innovation.

The leader will serve as a trusted advisor and independent risk partner to senior executives, governance committees, and the Board, working across Technology, Information Security, Data, Legal, Compliance, Internal Audit, Model Risk, Procurement, and Business Operations.

Key Responsibilities
Enterprise AI Governance & Responsible AI Leadership
Own and mature the enterprise AI governance strategy, framework, operating model, policies, standards, and decision rights.
Establish practical guardrails and risk-based approval paths for AI development, acquisition, deployment, monitoring, material change, and retirement.
Oversee AI risk assessments spanning model performance, data quality, privacy, cybersecurity, intellectual property, bias, fairness, transparency, explainability, human oversight, and regulatory compliance.
Lead governance for generative AI, machine learning, large language models, agentic AI, and other emerging AI capabilities.
Maintain comprehensive AI inventories, use-case classifications, lifecycle controls, exception processes, and evidence of accountable ownership.
Define enterprise metrics, key risk indicators, dashboards, and escalation protocols that provide a clear view of AI risk exposure and control effectiveness.
Monitor changes in AI regulation, supervisory guidance, industry standards, and market practices, and translate them into timely enterprise action.
Advise business and technology leaders on how to innovate responsibly, balancing speed, client and employee value, and risk.

AI Risk, Controls & Monitoring
Design and maintain an integrated AI risk and control framework aligned with enterprise risk management and existing technology, data, privacy, cybersecurity, compliance, and model risk programs.
Establish testing, validation, ongoing monitoring, issue management, remediation, and continuous controls monitoring practices for AI solutions.
Create clear accountability for AI outcomes across business owners, developers, vendors, control functions, and governance bodies.
Oversee risk management for third-party AI providers, embedded AI capabilities, data sources, and foundation models, including due diligence and ongoing monitoring.
Identify emerging AI risks early and drive coordinated mitigation across the enterprise.

Technology Risk Leadership
Lead and continuously strengthen the enterprise Technology Risk Management framework, policies, standards, risk appetite, key risk indicators, reporting, and escalation processes.
Provide independent oversight and effective challenge across technology strategy, cloud adoption, cybersecurity, data governance, digital transformation, third-party technology, and operational resilience.
Drive integration of technology and AI risks into enterprise risk assessments, RCSA, compliance, audit, issue management, and control assurance programs.
Present clear risk insights, trends, decisions, and recommendations to senior leadership, governance committees, regulators, auditors, and Board-level stakeholders.

Regulatory, Governance & Stakeholder Leadership
Ensure AI and technology risk programs align with applicable regulatory expectations and recognized industry frameworks.
Serve as the senior management liaison for examinations, audits, and regulatory reviews involving AI, technology, cybersecurity, data, and operational resilience.
Partner with Legal, Compliance, Privacy, Information Security, Internal Audit, Model Risk, and Data Governance to build sustainable and coordinated oversight.
Clarify decisions, ownership, and escalation across governance forums so that accountability is visible and action is timely.

Leadership & Capability Building
Build and lead a high-performing team of AI governance, technology risk, controls, and emerging-risk professionals.
Develop enterprise capability in responsible AI, emerging technology risk, advanced monitoring, and risk-informed decision making.
Foster a culture of accountability, transparency, curiosity, constructive challenge, and responsible innovation.
Influence senior stakeholders and drive adoption of consistent governance practices across business and technology teams.

Required Qualifications
10 or more years of progressive leadership experience across technology risk, cybersecurity risk, operational risk, model risk, internal audit, governance, risk and compliance, or related disciplines, including significant enterprise-level responsibility.
Demonstrated experience designing, implementing, or materially advancing enterprise AI governance and responsible AI programs.
Hands-on knowledge of AI lifecycle risks and controls, including generative AI, machine learning, large language models, data, privacy, cybersecurity, third-party risk, transparency, explainability, human oversight, and regulatory compliance.
Deep expertise in technology risk management, control design and testing, cloud risk, cyber risk, data governance, third-party risk, operational resilience, issue management, and regulatory engagement.
Proven ability to convert complex or evolving risk requirements into clear, practical guardrails that enable responsible innovation.
Experience advising executive committees, governance forums, regulators, auditors, and Board-level stakeholders.
Strong executive presence, judgment, influence, and communication skills, with the ability to create clarity across technical, risk, legal, and business audiences.
Bachelor’s degree in information technology, computer science, cybersecurity, risk management, business, data science, or a related field.

Preferred Qualifications
Financial services, wealth management, banking, insurance, or another highly regulated industry.
Experience aligning AI governance to frameworks such as the NIST AI Risk Management Framework and integrating AI risk into enterprise risk management.
Experience with AI assurance, model validation, automated controls monitoring, or governance technologies.
Advanced degree or relevant professional certifications such as CRISC, CISA, CISSP, CGEIT, CISM, or equivalent.

The Leadership Profile We Are Seeking
An AI governance leader first, grounded in deep technology risk expertise. The successful candidate will be equally credible with technical teams, control functions, regulators, and executives; will bring strong judgment in an evolving environment; and will know when to set a firm boundary, when to ask a better question, and when to create a faster, safer path forward.

Pay Range:
$172,525.00 - $287,473.00

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!

Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

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 @lplfinancial.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.

EAC 5.19.26
Additional Locations: New York, Arlington VA