LPL Financial · 1 day ago
Vice President, Assistant General Counsel - AI
New York
Full-time
Onsite
Senior Level, Lead/Staff
$172K/yr - $287K/yr
8+ years expLPL Financial is a leading wealth management firm in the U.S., seeking a highly skilled Vice President, AI Attorney to join their Legal Privacy team. This role involves providing strategic legal counsel on AI technologies in financial services, ensuring compliance with evolving regulations and supporting the governance of AI initiatives.
FinanceFinancial Services
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
Qualification
Required
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)
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
Preferred
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
And more
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-09
2026-01-09
GlobeNewswire
2026-01-09
Company data provided by crunchbase