AVP, Digital Enablement

LPL Financial Holdings, Inc. • $104K — $174K *
Fort Mill, SC 29708In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5+ years in financial services with supervision, compliance, or model risk management experience.
  • Bachelor's degree in Business, Finance, Data Analytics, or a related field required.
  • Experience managing AI model lifecycles in regulated environments.
  • Understanding of regulatory frameworks such as FINRA and SEC related to supervision.
  • Ability to communicate technical concepts to non-technical audiences.
  • Proficiency in Microsoft Office, SQL, and model monitoring tools preferred.
  • Strong analytical skills with a focus on actionable insights.

Responsibilities

  • Provide evidence-based recommendations for AI model pipeline management to the VP.
  • Evaluate models against business needs, suggesting retirements or replacements as needed.
  • Curate the AI model development pipeline, assessing resource requirements and impact.
  • Maintain governance documentation to ensure audit readiness for assigned models.
  • Prepare and present model reports and updates to the VP, highlighting trends and risks.
  • Participate in governance forums, contributing to discussions on AI governance and transformation.

Benefits

  • 401K matching
  • Health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
Full Job Description


Job Overview
  • Serves as a senior analytical contributor and emerging leader within the Digital Enablement Supervision team, responsible for managing a complex and strategically significant portfolio of supervisory AI models across their full lifecycle - from deployment through ongoing governance, enhancement, and, where warranted, retirement.
  • Operates as a subject-matter authority on model performance, change management, and governance execution - bridging the gap between technical model capabilities and practical supervisory outcomes, and supporting the VP in translating the firm's AI strategy into well-governed, high-performing model operations.
  • Leads and mentors Model Managers, providing day-to-day guidance, quality assurance on analytical work product, and developmental coaching - serving as the connective layer between the analyst team and the VP.
  • Brings a proactive, ownership-oriented mindset to model quality and governance - independently identifying issues, designing solutions, and driving execution without requiring close direction from the VP on routine matters.


Responsibilities
Pipeline & Lifecycle
  • Provide structured, evidence-based pipeline recommendations to the VP - identifying emerging model development needs, sequencing considerations, and retirement candidates based on performance trends, regulatory shifts, and evolving supervisory task requirements.
  • Assess models against changing business needs and regulatory requirements, recommending retirement or replacement when continued deployment is no longer warranted or cost-effective.
  • Contribute to the curation and grooming of the AI model development pipeline, offering analytical perspective on prioritization, resource requirements, and anticipated supervisory impact.

Governance, Audit Readiness & Reporting
  • Maintain examination-ready governance documentation for all assigned models - ensuring version histories, change logs, validation records, risk assessments, and performance scorecards are complete, current, and audit-navigable at all times.
  • Prepare and present model performance reports, scorecards, and pipeline status updates for VP review, clearly communicating trends, risks, and recommended actions in a polished, executive-ready format.
  • Participate in governance forums and cross-functional working groups, representing the model management function and contributing to broader AI governance and supervisory transformation discussions.


What are we looking for?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements
  • 5+ years of experience in financial services with meaningful exposure to supervision, compliance, model risk management, or regulatory operations.
  • Bachelor's degree in Business, Finance, Data Analytics, or a related field required.
  • Experience supporting or managing analytical or AI model lifecycles within a financial services or similarly regulated environment - including monitoring validation and change management activities.
  • Working knowledge of FINRA, SEC, and NASAA regulatory frameworks as they relate to supervisory obligations and first-line control environments.
  • Experience collaborating across compliance, technology, and operations functions, with the ability to translate technical model concepts for non-technical supervisory audiences.
  • Proficiency in Microsoft Word, Excel, PowerPoint, experience with data visualization tools, query languages (SQL), or model monitoring platforms strongly preferred.
  • Analytical and critical-thinking skills, with the ability to identify patterns in model performance data, diagnose root causes, and develop well-reasoned, actionable recommendations.
  • Written and verbal communication skills, with experience preparing concise, professional reports and presenting findings to management-level stakeholders.
  • Organized and detail-oriented, with the ability to manage multiple concurrent model workstreams with accuracy and professionalism.
  • A genuine intellectual curiosity about AI, machine learning, and the application of emerging technologies to regulatory and supervisory challenges.


Preferences
  • FINRA Series 7; willingness and eligibility to obtain required upon hire.
  • Additional FINRA licensing (Series 24, 66)


Pay Range:
$104,648.00 - $174,482.00
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!

About LPL Financial Holdings, Inc.

LPL Financial Holdings, Inc. Careers

Joining LPL Financial Holdings, Inc. presents an unparalleled opportunity to become part of a leading team of professionals in the financial services industry. The company is renowned for its commitment to innovation, leadership, and professional growth, making it an ideal workplace for ambitious individuals looking to advance their careers.

Explore Job Opportunities

LPL Financial Holdings, Inc. offers a variety of job opportunities that cater to a range of skills and interests. From entry-level positions to senior leadership roles, each job opening provides a platform for personal and professional development. Candidates can expect a rigorous interview process that ensures each team member is not only a fit for the position but also aligns with the company's culture of excellence and integrity.

Internship Programs

For those starting their career journey, LPL Financial Holdings, Inc. provides robust internship programs designed to offer real-world experience in the financial sector. Internships are a cornerstone of the company's commitment to nurturing young talent, providing a foundation of knowledge and skills that are crucial for future employment in the industry.

Commitment to Diversity and Inclusion

Diversity and inclusion are at the heart of LPL Financial Holdings, Inc. The company believes in empowering all employees through diversity training and leadership opportunities that promote an inclusive workplace. This approach not only enhances team collaboration but also drives innovation and creativity.

Benefits and Culture

LPL Financial Holdings, Inc. is dedicated to supporting its employees with comprehensive benefits designed to promote a healthy work-life balance. Benefits include competitive health care options, retirement plans, and wellness programs. The company culture is built on a foundation of mutual respect and teamwork, encouraging networking and professional development across all levels of the organization.

Professional Growth and Development

Employees at LPL Financial Holdings, Inc. are encouraged to continuously enhance their professional skills and advance their careers within the company. Leadership development programs and continuous learning opportunities are readily available, allowing individuals to achieve their career goals and contribute effectively to their teams.

Join the LPL Financial Holdings, Inc. Team

LPL Financial Holdings, Inc. is actively hiring and looking for passionate, creative, and solution-driven team players. Explore open positions that match your skills and interests on the LPL Financial Holdings, Inc. careers page. Each position offers a chance to be part of a dynamic team that is instrumental in shaping the future of financial services.

Stay Connected

Keep up to date with career tips, insider perspectives, and industry-leading insights through the LPL Financial Holdings, Inc. careers blog. Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities that await at LPL Financial Holdings, Inc.

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Embark on a career path that fosters growth, embraces diversity, and rewards innovation. LPL Financial Holdings, Inc. is not just a company—it's a place where you can make a difference.
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Finance & Insurance
* Ladders Estimates

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