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VP, Internal Audit

Job ID: R-003099 Date posted: 05/22/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

Brief Overview:

Provides leadership and oversight for the finance and operations internal audit team.  Interacts directly with key stakeholders within the company to coordinate impactful internal audit activities.    Specific responsibilities including but not limited to the following:

  • Lead the execution of finance and operations internal audits, including the performance of SOX finance and operations testing and ad hoc projects
  • Oversee all aspects of internal audit project activities, including: risk assessments, audit planning, audit testing, control evaluation, report issuance, and issue remediation
  • Support continuous improvement of overall internal audit processes
  • Ensure audits are executed in accordance with department and professional standards in a timely and efficient manner
  • Build close working relationships with internal audit leadership, senior business unit leadership and other colleagues. Overall proven ability to influence and partner across an organization.  
  • Hire, develop, and retain high performing and engaged employees.
  • Assist with special projects or other duties as assigned

Knowledge, Skills and Abilities:

  • Advanced understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.
  • Significant experience interacting with employees at all levels, including executive senior management.
  • Demonstrated experience working with external stakeholders such as external auditors or regulators.
  • Financial services experience strongly recommended with a demonstrated working knowledge of FINRA, SEC, and/or OCC regulatory requirements.
  • Superior communication skills a must - verbal, written, presentation, and listening skills.
  • Excellent attention to detail, ability to maintain a high level of organization and coordinate work in a fast paced/high volume environment.
  • Strong analytical skills and the ability to communicate and apply appropriate regulatory rules, information, or action per given situation.


Experience Preferred: 8-14 years of internal or external auditing or related area experience and 3+ years in a manager/supervisor/lead role. Experience preferred in public accounting with a Big 4 or a national CPA firm and  financial services (e.g. Broker/Dealer or RIA).

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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