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SVP, Professional Practices, Internal Audit

Job ID: R-004661 Date posted: 10/08/2018 Primary Location SC-Fort Mill

As a Senior Vice President within LPL Financial's Internal Audit team, you should be an experienced audit professional who can effectively lead the Professional Practices program. 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 addition, you will have the opportunity to work closely with the Chief Audit Executive, business and the Internal Audit team.  You will be an integral part of the Internal Audit team.

You will be responsible for the development and execution of 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, you will have a strong knowledge of the Institute of Internal Audits (IIA) Professional Practices Framework to which our audit methodology is aligned as well as Sarbanes-Oxley requirements and controls frameworks. You will provide input into strategy setting and policy development impacting Internal Audit and Financial Controls while proactively monitoring IIA requirements, guidance and pronouncements.

Essential Functions:

  • Project Management of Annual Enterprise Risk Assessment & Annual Plan Process, including coordination with ERM and regulatory library.
  • Audit and Controls Methodologies – Coordinate, document and communicate changes to Internal Audit methodologies, incorporating updates to the IIA standards, PCAOB and industry best practices. Lead efforts to improve the effectiveness and consistency of department methodology, training, communications, processes, and tools. Including refining the continuous monitoring process.  Maintain standard audit programs and library.
  • Quality Assurance Improvement Program – Develop, execute and continuously improve internal quality assurance programs aligned with IIA, Sarbanes Oxley standards and industry best practices, including but not limited to audit and controls methodologies. Coordinate self-assessment and external audit processes maintaining external assessment standards and IIA compliance.
  • Training – Supporting the Heads of San Diego and Fort Mill, ensure a framework for skills assessment, determine gaps, incorporating industry best practices and considering professional certification requirements. Participate in and support department recruiting and employee development efforts aligning with HR programs and timelines. Develop, manage, and administer Audit and FCG guest/rotational programs and the on-boarding process for new hires, guest auditors and co-source resources. Coordinate the annual team Summit.  Track and report training and development metrics, including employee certifications, and professional background.
  • Support of Chief Audit Executive – Track and report quality assurance metrics ensuring that customer satisfaction survey results are input and trended.
  • Communication – Support preparation of materials for the Audit Committee as related to training, quality assurance and general insights.
  • Innovation
  • Strategy and special projects


  • Bachelor's Degree; MBA a plus.
  • 10+ years of experience with internal audit policies and procedures within a financial services corporation, experience in a Professional Practices role or related field a plus
  • 5+ years of progressive experience leading teams and building internal programs in a technically and operationally complex business-
  • A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification
  • Demonstrated successful project management experience, business acumen, and comfortable with ambiguity-
  • Knowledge of IIA standards; FRB/regulatory reporting; Sarbanes-Oxley; risk management techniques and compliance requirements
  • Excellent oral and written communication skills; including extensive PowerPoint experience
  • Travel 10% to 25%


  • Strong business and financial acumen and project management/ organizational skills with ability to multi-task and deal with change in a pro-active and positive manner
  • Ability to think strategically, be able to see patterns, anticipates future consequences and trends, and incorporates them into on-going plans
  • Sound judgment and confident ability to make decisions supported by strong oral and written communication skills
  • Experience in performing data analysis & reporting
  • Comfortable building relationships at all levels in the organization

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Finance, Fort Mill, South Carolina, United StatesRemove