VPII, Enterprise Data Governance Risk & Controls

Build the control environment that earns trust in enterprise data.This newly created leadership role will establish LPL’s first-line Enterprise Data Governance Risk & Controls capability, connecting governance standards to practical controls, measurable risk reduction, and clear executive visibility. You will shape the operating model, build durable partnerships across Product, Technology, Risk, Compliance, Legal, Operations, and Internal Audit, and help ensure trusted data supports client service, regulatory readiness, analytics, and responsible AI adoption.

Job Overview

TheVice President II, Enterprise Data Governance Risk & Controls is a senior leader within the Enterprise Data Governance & Responsible AI organization, reporting to the Senior Vice President, Data Governance & Responsible AI. As the first-line leader for enterprise data governance controls, this role establishes and matures the framework, control inventory, monitoring, issue-management, evidence, and reporting practices used to identify, assess, mitigate, and communicate data-related risk across the enterprise. The leader will work closely with first-, second-, and third-line partners to align data governance controls with the Enterprise Risk Management Framework, regulatory expectations, and sustainable business operations.

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.

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 candidatespursue greatness,act with integrity, and aredriven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where wewin together andcreate and share joy in our work.

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

Core Competencies

• Enterprise data governance, data management, and data risk leadership

• First-line risk ownership, enterprise control design, testing, and monitoring

• RCSA, GRC, issue management, audit, and regulatory examination readiness

• Executive communication, organizational influence, and cross-functional partnership

• AI governance, privacy, information protection, cybersecurity, and third-party risk integration

• Strategic planning, change leadership, talent development, and continuous improvement

Preferences

• Experience building a new team, function, or enterprise capability from the ground up.

• Experience supporting audit, regulatory examinations, or governance programs and owning remediation through validated closure.

• Knowledge of enterprise risk management, operational risk, control management, and GRC technologies.

• Experience establishing KRIs, executive dashboards, continuous controls monitoring, or risk visualization.

• Experience with responsible AI, AI governance, or controls supporting the responsible use of data and artificial intelligence.

Pay Range:

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 visitwww.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