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AVP, Controls ( Internal Controls Report Testing Program Manager)

Job ID: R-012104 Date posted: 01/07/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Are you someone searching for a leadership position in internal audit?

Do you want to pursue or continue a career in financial services? 

Excited to learn more? If so, then this could be the role for you

Job Overview

We are currently looking to hire an experienced audit professional for “AVP, Internal Audit, Controls” within the Internal Audit department. This individual will be responsible for leading our Controls Report Testing Program (CRTP), comprised of SOX, SOC 1, and two other industry specific reports, as well as other projects as assigned.  You will have a unique view of LPL Financial, its businesses and the supporting technology, with a lens into all aspects of the audit process, in particular the CRTP. As an integral part of the Internal Audit team, you will have the opportunity to work closely with the Chief Audit Executive, business stakeholders, external auditors and the Internal Audit team. 

The mission of Internal Audit is to provide independent, objective assurance and consulting services designed to add value and improve LPL Financial's operations through identifying preventable risk.

Internal Audit supports the Company in accomplishing its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. The objectives of Internal Audit are to assist all levels of management and the audit committee of the company’s board of directors in the effective discharge of their responsibilities, by conducting thorough independent audits of their activities and furnishing recommendations, counsel and information concerning activities reviewed.

Internal Audit functionally reports to the LPL Audit Committee Chair of the Board of Directors, and administratively to the Chief Financial Officer. Internal Audit is part of the larger Finance organization.

What will you do?

The AVP, Internal Audit, Controls will report directly to the EVP, Chief Audit Executive, and liaise with external auditors, as required. The AVP, Internal Audit, Controls will be responsible for the development and execution of the company’s Controls Report Testing Program (CRTP), department-wide initiatives to drive excellence and continuous improvement in department programs, processes and employee development while ensuring adherence to industry standards and best practices. In this lead role, individual will have a strong knowledge of the Sarbanes-Oxley requirements and SSAE 18 control framework. Individual will provide input into strategy setting and policy development impacting Internal Audit and CRTP while proactively monitoring IIA requirements, guidance and pronouncements.

Key responsibilities for the position are:

  • Working closely with management,  manage the planning, scoping, and execution of the Control Report Testing Program including review of the annual Financial Statement Risk Assessment (SOX), ongoing review of control effectiveness coverage to meet objectives of service organization control reports (SOC 1 and FICCA).
  • Develop and host trainings to internal audit staff and control owners, in support of achieving strong CRTP results.
  • Refine/drive continuous improvement in the internal controls self-assessment program to determine quarterly and annual compliance with key SOX sections (302, 404, etc.).
  • Assist with continuous improvement in controls testing through risk assessment, controls rationalization and optimization for greater accuracy, financial control, automation and efficiency.
  • Serve as a liaison between the Company's business owners and external auditors and support external auditor's testing.
  • Determine the root cause of deficiencies, and assist management with the development of remediation plans. Track control deficiencies and follow-up with process owner to ascertain timely remediation.
  • Document and maintain the policies and procedures in place to complete the CRTP.
  • Participate in recruiting, on-boarding & development of Internal Audit personnel

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

We want a leader that has hands-on experience identifying and evaluating financial, operational and technology risks, evaluating the design of internal controls, and managing a program that assesses the effectiveness of Internal Controls.

What skills, experiences, and education are required?

  • BA/BS in Accounting or Finance or related field.
  • Strong understanding of SOX Compliance, AT 101, COSO Framework, US GAAP, PCAOB standards, SEC regulations, Auditing Standards and internal controls to evaluate and determine the adequacy of controls
  • Demonstrated ability to build productive relationships with all levels of management
  • 8+ years of audit, controls, or advisory experience from large national/international accounting firms, or large public companies and/or internal controls related experience.
  • Financial statement audit experience is a plus.
  • Understanding of Information Technology General Controls (ITGC’s)
  • Strong verbal and written communication skills
  • An appropriate certification in accounting and/or auditing is required, such as a CPA, CISA and/or CIA
  • Experience with large ERP systems (e.g., Oracle)

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  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 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 (800) 877-7210.

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