LPL Financial has named Xin “Cindy” Tu Vice President, Head of Tech & Cyber Governance. In her role, Tu serves as the first-line executive point of contact for multi-regulator examination programs spanning the NYDFS, OCC, SEC, and SOX, as well as SOC-1 and SOC-2 audits.

Tu collaborates with Legal, Compliance, Privacy, and Risk functions to maintain an audit-ready control environment. Additionally, she directs the entire examination lifecycle at LPL—from readiness assessments and evidence production to examiner coordination and post-examination remediation.

With more than 19 years of financial services experience, Tu’s background spans AI, data, IT, and cybersecurity risk. Before joining LPL, she served as Interim Head of IT & Data Audit at Capital One and previously held risk and audit leadership roles at Discover Financial Services, Fannie Mae, Sallie Mae, and Ernst & Young.

Beyond her corporate leadership, Tu serves on the CDO Magazine Global Board, the HotTopics AI Advisory Board, and the FIMA Executive Advisory Board. She also contributes to AI governance policy through the American Bar Association’s AI Working Group and the EDM Council.

Highlighting her strategic focus, Tu noted, “I am doing really exciting work at LPL building the 1st line function on maturing controls around cyber, IT, data and AI serving institutional and independent advisors.”