SVP, Technology Risk & AI Governance

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

These responsibilities are spread across several functional areas as outlined below.

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.

Pay Range

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.

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off
• and more

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

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.

Join the LPL team and help us make a difference by turning life's aspirations into financial realities.

EOE.

EAC 5.19.26 LPL Financial is the nation's largest independent broker-dealer. Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals.

To understand who we are, it's important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact.

To learn more about our organization visit our About LPL page.