AVP, Internal Audit Quality Assurance — AI-Driven Excellence

LPL Financial; Fort Mill (SC); On-site; USD 104,000 - 173,000; Full time

Job summary

LPL Financial seeks an AVP, Internal Audit Quality Assurance Lead to advance the QAIP by applying AI-enabled reviews, data analytics, and scalable processes across audit engagements. You will guide methodologies, templates, and continuous improvement efforts while coaching teams and reporting to leadership.

You will partner with audit teams and leadership to drive quality coverage, enhance efficiency, and align with regulatory expectations in a fast-paced financial services environment.

Qualifications

• Bachelor’s degree in Accounting, Finance, Business Admin, Information Systems, or related field; MBA preferred.
• Professional certifications: CIA, CPA, CISA, CISSP, or PMP.
• Minimum 8 years in Internal Audit, QA, Risk, Compliance, or related financial services.
• Knowledge of broker-dealer operations, regulatory frameworks, IPPF/QAIP requirements.
• Experience using data analytics, automation, and AI-enabled tools for audit quality.

Responsibilities

• Perform independent quality reviews of audit engagements, ensuring conformance to standards and procedures.
• Evaluate planning, risk assessment, testing, reporting, issue management for quality and consistency.
• Collaborate with audit teams to resolve observations and improve deliverables.
• Support QAIP execution and continuous improvement, including internal/external assessments.
• Develop quality metrics, dashboards, and executive reporting using analytics and AI.

Skills

Audit quality

Data analytics

AI-enabled auditing

Stakeholder engagement

Coaching & training

Education

Bachelor’s degree in Accounting/Finance

MBA preferred

Tools

QA methodologies

Internal Audit software

Data analytics tools

Job description

LPL Financial seeks an AVP, Internal Audit Quality Assurance Lead to advance the QAIP by applying AI-enabled reviews, data analytics, and scalable processes across audit engagements. You will guide methodologies, templates, and continuous improvement efforts while coaching teams and reporting to leadership.

You will partner with audit teams and leadership to drive quality coverage, enhance efficiency, and align with regulatory expectations in a fast-paced financial services environment.