LPL Financial · 12 hours ago
SVP - Internal Audit
Fort Mill/Charlotte
Full-time
Onsite
Director/Executive
$197K/yr - $328K/yr
15+ years expLPL Financial is among the fastest growing wealth management firms in the U.S. seeking a Senior Vice President of Internal Audit. The role involves leading risk-based internal audits, ensuring compliance with regulatory requirements, and collaborating with senior leadership to enhance risk management and internal controls.
FinanceFinancial Services
Responsibilities
Develop and execute the annual audit plan for broker-dealer operations, aligned with regulatory requirements and organizational risk priorities
Identify emerging risks and adjust audit coverage accordingly
Provide oversight and leadership of audit engagement’s planning, fieldwork, identification, development and documentation of audit issues, recommendations and their reporting
Ensure audit test work, including documentation and reporting, is executed in accordance with department and IIA standards and completed timely
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
Partner with other control functions to align common risk taxonomy and coordinate assurance and risk assessment activities
Effectively represent internal audit on enterprise-wide project teams, at management and board meetings, as well as to external parties and organizations
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
Provide guidance, direction and leadership towards seeking efficiencies in the organization without compromising its effectiveness
Monitor adherence to FINRA, SEC, and other applicable regulations
Partner with Compliance and Legal teams to address regulatory changes
Develop and maintain effective relationships with senior leaders, and other key stakeholders
Provide advice and counsel to management on complex risk management and control issues and process improvements
Communicates complex risk issues clearly and concisely to diverse audiences
Drive effective implementation of Internal Audit’s strategic objectives including continued use of data analytics to increase assurance and continuous monitoring 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
Qualification
Required
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 15 year's professional audit experience, including senior leadership responsibility in complex, regulated environments, and demonstrate a strong knowledge of broker-dealer operations and regulatory requirements
Solid understanding of risk and controls is expected
Ability to proactively engage with stakeholders and communicate complex risk scenarios
Possess significant business and personal leadership skills, initiative and independent judgment and responsible for developing, implementing and maintaining effective risk-based audit plans
Demonstrate ability to exercise sound, independent judgement in complex and ambiguous situations
Proven ability to operate effectively in dynamic, highly regulated environments with complex challenges and competing priorities
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-13
2026-01-12
Investment News
2026-01-11
Company data provided by crunchbase