Overview
Senior Vice President, Data & AI Governance and Tooling Lead — LPL Financial
Lead the development and execution of enterprise-wide governance strategies for data and AI, supporting LPL’s evolution into a hybrid "build and buy" AI organization by embedding governance across data assets, AI models, and operational workflows. This role reports to the Chief Data & AI Officer and collaborates with data, technology, operations, legal, and compliance teams to align governance with business goals and regulatory expectations.
Key Responsibilities
- AI Governance: Define and manage governance for AI/ML and GenAI models, covering lifecycle oversight, risk, explainability, bias, and performance.
- Policy Leadership: Develop and enforce enterprise-wide data and AI policies, including partial data masking and data retention, integrated into platforms and workflows (e.g., ServiceNow).
- Regulatory Alignment: Ensure governance practices meet FINRA and other regulatory standards; proactively adapt to changes.
- Tooling Strategy: Expand use of AI-driven tools for metadata tagging, lineage, documentation, and reconciliation.
- Governance Reporting: Build dashboards and metrics to track AI model governance, policy compliance, and audit readiness.
- Cross-Functional Collaboration: Partner with engineering, data science, legal, and compliance to embed governance into development and operations.
- Data Governance Delivery: Scale core capabilities—cataloging, quality, lineage, reconciliation, and documentation—using a mix of build, buy, and AI solutions.
- Change Management: Lead adoption strategies and training to embed governance into daily workflows across teams.
- Team Leadership: Mentor and grow a high-performing team of data professionals.
- Continuous Improvement: Refine governance practices based on feedback, performance data, and industry trends.
KPIs & Success Metrics
- AI Governance: % of AI models reviewed and approved through governance processes; % of models with explainability and bias assessments completed.
- Policy Compliance: % compliance with data retention and masking policies; reduction in regulatory audit findings related to data/AI governance.
- Tooling Adoption & Data Quality: % of business units actively using governance tools; reduction in data quality issues; % of assets with complete metadata.
- Operational Efficiency: MTTR for data-related incidents; % of critical data domains governed.
- Training & Enablement: Number of users trained; satisfaction scores from enablement sessions.
Key Competencies
- Data Governance: Expert in cataloging, quality, lineage, reconciliation, and documentation of data assets.
- AI Risk & Ethics: Responsible AI principles and regulatory trends.
- Policy Leadership: Ability to develop and enforce enterprise-wide data and AI policies.
- Regulatory Acumen: Familiarity with financial services regulations, especially data privacy, security, and AI usage.
- Strategic Thinking: Ability to develop and implement long-term strategies that align with organizational goals.
- Adaptability: Flexibility to adapt strategies based on changing circumstances and trends.
- Collaboration: Strong cross-functional collaboration skills.
- Leadership: Ability to inspire and develop team members.
- Communication: Clear written and verbal communication.
Requirements
- Bachelor’s or master’s degree in business, Computer Science, Information Systems, Data Science, Engineering, or related field.
- 15+ years of experience in Data & Analytics product management or equivalent, including leading significant data transformation initiatives.
- 5+ years of experience in data platform and services build-out in partnership with engineering teams and data product ownership in a mid to large-scale enterprise.
- Proven experience in a senior leadership role, preferably SVP level.
- Strong financial acumen with a track record managing budgets exceeding $50 million.
- Experience leading teams through significant transformations, migrating from legacy systems to modern cloud architectures.
- Exceptional communication and stakeholder management skills; ability to foster a collaborative and innovative team culture.
- Experience with DataZone from AWS a plus.
Pay Range
$179,775-$299,625/year
Actual base salary varies based on factors including relevant skill, prior experience, education, internal peers’ salaries, performance, and location. LPL Total Rewards package includes benefits such as 401(k) matching, health benefits, stock options, paid time off, volunteer time off, and more.
Company Overview
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. LPL serves thousands of financial professionals and institutions with a commitment to the advisor-mediated model and objective financial guidance.
Join LPL Financial: Where Your Potential Meets Opportunity. We offer an integrated platform of technology, brokerage, and services. For more information about our leadership, mission, and values, or to learn about benefits and total rewards, please contact the recruiter.
Important notes: Principals only. EOE. Information on interviews: LPL will communicate from an @lplfinancial.com address; no online chat interviews or requests for payment or banking information. For questions, contact LPL’s Human Resources Solutions Center at .
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