Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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!

 

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 www.lpl.com.

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. 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.

EAC 5.19.26