Senior Analyst, AI and Model Risk and Governance

Job Overview:

We are seeking a dynamic and highly analytical Senior Analyst to join our AI Risk and Governance team. Reporting to the Vice President (VP) of AI Risk and Governance, the Senior Analyst will play a crucial role in supporting the development and ongoing management of AI and Model risk governance programs. The senior analyst will assist in managing and establishing risk governance processes, monitoring AI systems, and ensuring adherence to regulatory frameworks. The ideal candidate will possess a continuous improvement mindset, optimizing reporting processes and strengthening governance and oversight standards.

Responsibilities:

• Assist in the development and oversight of AI risk governance frameworks, including policy development.
• Support a cross functional AI monitoring program and evaluate AI solutions for model robustness, adversarial risks and ongoing performance.
• Support risk assessments for AI solutions to identify and evaluate risks, ensuring compliance with internal policies and external regulations.
• Assist in the implementation of a comprehensive model risk management program, including policies, procedures and documentation.
• Stay informed about evolving AI regulations and support the team in ensuring alignment with business models.
• Support the production of materials for executive-level risk and governance committees.
  

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Bachelor’s degree in Finance, Accounting, Business, Economics, or a related discipline. Advanced degree preferred.
• Minimum of 3 years of experience, with at least 2 years in compliance or risk-related roles, preferably within wealth management.
• Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy.
• Strong problem-solving skills with the ability to evaluate business opportunities and results against established objectives.
• Excellent written and verbal communication skills, with experience preparing reports and presentations.
  

Preferences:

• Knowledge of AI-related regulations and standards.
• 3+ years of experience in financial services, preferably within wealth management.
• Continuous improvement mindset demonstrated through the application of data analytics tools and methodologies to optimize processes, reporting systems, and governance frameworks.
• Proficient in Microsoft Excel and the broader Microsoft Office Sutie, with experience using business intelligence and visualization tools such as Power BI and/or Tableau.
• Relevant certifications such as Certified Information Systems Security Professional (CISSP), Certified Risk Management Professional (CRMP), or similar are a plus.
  

Pay Range:

$78,525-$130,875/year

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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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 LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
• Impactful Work: Our size is just right for you to make a real impact. Learn more here!
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @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.

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