AVP, Internal Audit QA — AI-Driven Quality Leader

lplfinancial; Fort Mill, Charlotte (SC, NC); On-site; USD 104,000 - 173,000; Full time

Benefits offered by this job

401(k) matching

Health benefits

Paid time off

Employee stock options

Job summary

LPL Financial is seeking an AVP, Internal Audit Quality Assurance Lead to advance a scalable, AI-enabled QA program across audit lifecycle. You will assess workpapers, reports, and documentation, delivering feedback and driving improvements in methodology and consistency.

In partnership with audit teams and leadership, you will develop quality metrics, lead training, and create executive-quality insights that enhance audit effectiveness and regulatory alignment.

Qualifications

• Bachelor’s degree in Accounting, Finance, or related field; MBA preferred.
• Professional certifications (CIA, CPA, CISA, CISSP, or PMP) required.
• 8+ years in Internal Audit, QA, Risk, Compliance, or related financial services.
• Knowledge of broker-dealer regulatory requirements and control frameworks.
• Experience with data analytics, automation, and AI-enabled QA activities.

Responsibilities

• Conduct independent QA reviews of audits using manual and AI-enabled methods.
• Evaluate planning, risk assessment, testing, reporting, issue management and documentation.
• Support QAIP execution, enhancements, and assessments (internal and external).
• Develop QA metrics, dashboards, and reporting for leadership.
• Provide coaching, training, and cross-functional stakeholder engagement.
• Refine AI-enabled review processes, controls, and automation opportunities.

Skills

Data analytics

AI-enabled tools

Quality assurance

Audit methodology

Stakeholder management

Education

Bachelor’s degree in Accounting/Finance/Business Administration/IS

MBA or advanced degree

Tools

QA methodologies

IPPF

Audit management systems

AI tools

Job description

LPL Financial is seeking an AVP, Internal Audit Quality Assurance Lead to advance a scalable, AI-enabled QA program across audit lifecycle. You will assess workpapers, reports, and documentation, delivering feedback and driving improvements in methodology and consistency.

In partnership with audit teams and leadership, you will develop quality metrics, lead training, and create executive-quality insights that enhance audit effectiveness and regulatory alignment.