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SVP, Internal Audit

Job ID: R-020354 Date posted: 01/10/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

The SVP, Internal Audit reports directly to the Chief Audit Executive (CAE). The CAE reports directly to the Audit Committee of LPL Financial and administratively to the CFO.

The SVP, Internal Audit works very closely with the Business Unit senior leadership as well as other key leaders and control functions across the firm.


The SVP, Internal Audit is responsible for leading risk-based internal audits of our Business Operations and Compliance groups and working collaboratively across the Internal Audit team.

Essential Functions:

  • Provide oversight and leadership of audit engagement’s planning, fieldwork, identification, development and documentation of audit issues, recommendations and their reporting.
  • Oversee the identification and evaluation of risk areas, and responsible for developing and executing a major portion of the Internal Audit annual audit plan.
  • Develop and maintain effective relationships with senior leaders, and other key stakeholders.
  • Partner with other control functions to align common risk taxonomy and coordinate assurance and risk assessment activities
  • Acquire, develop and motivate high quality professional management and staff through effective recruiting, education and training, professional development, career counseling, and succession planning programs. Be a leader and a team player.
  • Provide guidance, direction and leadership towards seeking efficiencies in the organization without compromising its effectiveness.
  • Ensure effective reporting of audit results, monitor business unit manager implementation of corrective risk reduction plans and actions, and follow-up to measure the success of plans and actions taken.
  • Provide advice and counsel to management on complex risk management and control issues and process improvements.
  • Comply with reporting systems that ensure timely identification and reporting of risk and control matters and prompt/early escalation of critical issues including follow-up to resolution.
  • Effectively represent internal audit on enterprise-wide project teams, at management and board meetings, as well as to external parties and organizations.
  • Ensure audit test work, including documentation and reporting, is executed in accordance with department and professional standards and completed timely.
  • Drive effective implementation of Internal Audit’s key objectives including continued use of data analytics to increase assurance and continuous monitoring activities
  • Provide other internal audit status reporting as required.

Qualifications: 

  • Bachelor’s degree is required, and an MBA is preferred
  • CPA, CIA, CISSP, PMP or CISA certification is required
  • The successful candidate will have a minimum of 10 year’s professional audit experience
  • Experience working in a “Big 4” auditing firm a plus
  • Experience with large, diversified financial services firms; specific experience with Broker Dealers is preferred
  • Solid understanding of risk and controls is expected
  • Ability to proactively engage with stakeholders and communicate complex risk scenarios

Specifically, it is preferred that the candidate has experience in the following areas: 

  • Possess significant business and personal leadership skills, initiative and independent judgment and responsible for developing, implementing and maintaining effective risk based audit plans
  • The principles of internal control and policy formulation
  • Line of business audit strategies
  • Business process and controls engineering
  • Ability to enhance and maintain productivity through effective organization, planning and administration of audit activities
  • Demonstrated advanced ability to assess the relevancy of audit findings, identify root causes of systemic control weaknesses rather than symptoms, identify potential risk exposures and their materiality, spot improving or deteriorating trends, and assign fair and appropriate risk ratings at the completion of audits
  • Strong ability to establish and maintain effective communication and coordination with external parties, including external auditors, regulators and consultants
  • Demonstrated experience and success at articulating a strategic vision, driving critical decision making, influencing and inspiring others, and getting results
  • Reporting audit results to Risk and Audit Committees

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.

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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 (800) 877-7210.

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