VP, 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, Assistant General Counsel- AI to join our Legal Privacy team and serve as an AI Champion. This role will advise on the legal, regulatory, and ethical considerations related to artificial intelligence across the enterprise, including the evaluation of third-party AI tools, development of proprietary models, and the governance of data used to train and operate such systems.

The attorney will partner closely with the AI team, Product, Cybersecurity, Technology, Risk, and business stakeholders to ensure compliant and responsible AI development and use across the organization. This role combines deep subject-matter expertise in AI, privacy, financial services regulations, and technology with the ability to execute in a fast-paced environment, manage complex matters under tight deadlines, and provide practical, business-oriented advice.

The attorney will also support contract negotiation and drafting, including AI-specific terms, and play a critical role in strengthening the firm's AI governance program, data protection practices, and risk-management processes.

Responsibilities

* Serve as a primary legal advisor on AI-related matters, including regulatory requirements, risk mitigation, model governance, and data protection.

* Support the evaluation, review, and onboarding of new AI tools, including analysis of data use, model behavior, licensing, and compliance impacts.

* Advise on the design, development, and deployment of proprietary AI models, ensuring alignment with applicable laws, industry standards, and internal governance policies.

* Draft, negotiate, and manage AI-specific contract terms, including terms of use, data-use provisions, and AI addenda for vendor relationships.

* Provide legal guidance on privacy, cybersecurity, technology, and financial services regulatory requirements implicated by AI use cases.

* Partner with AI Governance, Risk, Engineering, Technology, and business teams to develop and enhance policies, controls, and best practices for responsible AI.

* Assess and communicate legal risks associated with AI and data use, providing clear, practical recommendations to business leadership.

* Monitor and interpret emerging AI, privacy, and technology regulations, advising stakeholders on operational impacts and readiness planning.

* Support incident response related to AI or data-related events, coordinating with cybersecurity and privacy teams as needed.

* Contribute to enterprise training, awareness, and change-management efforts related to responsible AI and data governance.

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

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

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:

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

* AI, data privacy, cybersecurity, and technology law.

Core Competencies

* Regulatory Expertise:
Strong working knowledge of AI-related laws and guidance (e.g., EU AI Act, U.S. state AI and privacy laws, sector-specific regulations, federal proposals), as well as privacy and cybersecurity frameworks (GLBA, Reg S-P, NIST, FFIEC).

* Technical Curiosity and Fluency:
Ability to understand AI concepts (e.g., training data, model architectures, bias/variance, evaluations, prompt injection, data lineage) and translate technical details into legal implications.

* Risk-Based Judgment:
Skilled in assessing complex fact patterns and delivering balanced, pragmatic legal advice.

* Contracting and Negotiation:
Experience drafting and negotiating technology, data-use, licensing, and AI-specific agreements.

* Cross-Functional Collaboration:

Comfort working with technologists, product teams, risk partners, and senior leaders.

* Strategic Thinking:
Ability to anticipate regulatory trends and emerging risks and guide sustainable…