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About the Role

Establish LPL’s first-line Enterprise Data Governance Risk & Controls capability, connecting governance standards to practical controls, measurable risk reduction, and clear executive visibility. This role will shape the operating model, build durable partnerships, and ensure trusted data supports client service, regulatory readiness, analytics, and responsible AI adoption.

Responsibilities

Establish and lead the Enterprise Data Governance Risk & Controls function, including its strategy, operating model, governance framework, accountability model, and multi-year maturity roadmap.
Design and oversee an enterprise data governance risk and control framework spanning data quality, lineage, classification, retention, critical data, privacy, cybersecurity, AI, and third-party data risk.
Define standards for control design, inventories, documentation, evidence, testing, monitoring, issue management, remediation, and continuous improvement.
Partner with Product, Technology, Business, Data Governance, and Responsible AI leaders to embed effective controls throughout the data lifecycle without creating duplicative processes or testing.
Align first-line controls with Enterprise Risk, Operational Risk, Information Security Risk, Privacy, Compliance, Legal, Model Risk Management, and other second-line requirements.
Create enterprise metrics, key risk indicators, continuous monitoring, dashboards, and executive reporting that provide transparency into data risk posture and control effectiveness.
Own the identification, escalation, remediation, and validated closure of data-related control gaps through established RCSA and GRC processes.
Serve as the first-line lead for data governance audits, regulatory examinations, and risk assessments, coordinating evidence and demonstrating control design and operating effectiveness.
Evaluate emerging regulatory, industry, and technology risks and translate them into pragmatic enhancements to the enterprise control environment.
Build, lead, and develop a high-performing team while advising senior leaders on control maturity, risk strategy, investment priorities, and operational resilience.

Requirements

10 or more years of experience in data governance, data management, data risk, controls, or a related discipline within a regulated financial services environment.
Experience designing, implementing, or materially advancing enterprise data governance and control frameworks, operating models, and control inventories.
Experience with data quality, lineage, classification, retention, critical data management, and controls across the data lifecycle.
Experience establishing governance processes for control design, evidence, testing, monitoring, issue management, remediation, and risk reporting.
Experience partnering across Product, Technology, Risk, Compliance, Legal, Operations, and Audit to deliver enterprise-scale outcomes.

Skills

Enterprise data governance
Data management
Data risk leadership
First-line risk ownership
Enterprise control design
Testing
Monitoring
RCSA
GRC
Issue management
Audit
Regulatory examination readiness
Executive communication
Organizational influence
Cross-functional partnership
AI governance
Privacy
Information protection
Cybersecurity
Third-party risk integration
Strategic planning
Change leadership
Talent development
Continuous improvement
Building a new team, function, or enterprise capability from the ground up
Supporting audit, regulatory examinations, or governance programs and owning remediation through validated closure
Enterprise risk management
Operational risk
Control management
GRC technologies
Establishing KRIs
Executive dashboards
Continuous controls monitoring
Risk visualization
Responsible AI
AI governance
Controls supporting the responsible use of data and artificial intelligence

Experience Level

Vice President II
10 or more years of experience

Salary/Compensations

$156,354.00 - $260,590.00

Benefits

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off

About the Company

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, 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.
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.

Equal Opportunity

Principals only.
EEO