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SVP, Internal Audit Professional Practices

Job ID: R-014660 Date posted: 06/02/2021 Primary Location CA-San Diego Other Locations 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 Internal Audit 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 – 
  • Communication – Support preparation of materials for the Audit Committee and Business leaders, including regular internal client relationships decks
  • Track and report quality assurance metrics ensuring that customer satisfaction survey results are input and trended.
  • Strategy and special projects

Qualifications

  • 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

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

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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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