Vice President, Assistant General Counsel - AI

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

LPL is seeking a highly skilled and experienced Vice President, AI Attorney to join our Legal Privacy team. This role will provide strategic legal counsel on the development, deployment, and oversight of artificial intelligence (AI) technologies across our broker-dealer and investment advisory operations. The ideal candidate will have a strong foundation in AI governance, technology, cybersecurity, and data privacy, with the ability to navigate complex legal and regulatory frameworks in a fast-paced financial services environment.

Responsibilities:

• Advise on legal and regulatory issues related to the use of AI in broker-dealer functions, including trade surveillance, client onboarding, and compliance automation.

• Draft, review, and negotiate contracts involving AI technologies, data usage, and third-party vendors.

• Collaborate with compliance, risk, and technology teams to develop and implement AI governance frameworks.

• Monitor and interpret evolving AI regulations (e.g., SEC, FINRA, EU AI Act) and assess their impact on business operations.

• Provide legal support for AI model validation and development, explainability, accuracy and risk assessments.

• Support incident response and regulatory inquiries involving AI systems or data.

• Educate internal stakeholders on legal risks and best practices related to AI and data governance.

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: 

• Juris Doctor (JD) from an accredited law school; licensed to practice in at least one U.S. jurisdiction.

• 8–12+ years of legal experience, with a strong background in: AI, data privacy, cybersecurity, and technology law.

• Broker-dealer and registered investment advisory regulatory compliance (SEC, FINRA, MSRB).

Core Competencies:

• Deep understanding of AI governance, data protection laws (e.g., Reg. S-P, GDPR, CCPA), and emerging AI regulations.

• Familiarity with cloud computing, outsourcing, and third-party risk management.

• Knowledge of AI model training, data usage, and intellectual property issues related to AI.

• Ability to translate complex AI and regulatory concepts into actionable legal advice.

• Strong drafting and negotiation skills for AI vendor contracts and data-sharing agreements.

• Experience advising on AI model validation, surveillance algorithms, and automated compliance tools.

• Strong analytical and problem-solving skills.

• Excellent written and verbal communication.

• Ability to manage multiple priorities in a fast-paced, high-stakes environment.

• Collaborative mindset with the ability to work across legal, compliance, risk, and technology teams.

Preferences:

• Experience advising on AI model governance, algorithmic accountability, and data ethics.

• Familiarity with securities laws, data mapping, and product development.

• Strong contract negotiation and drafting skills.

• In-house experience in a financial services organization a plus.

#LI-PA

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 visit www.lpl.com.

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.

EAC12.9.25