AVP, Internal Audit Quality Assurance: AI-Driven Leader

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

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial LLC is seeking an AVP, Internal Audit Quality Assurance Lead to advance the QAIP, assess audit workpapers and reports, and drive continuous improvement using AI-enabled quality review capabilities. This role reports to the Head of Professional Practices and partners with audit teams to improve consistency across audits.

The ideal candidate has extensive internal audit and QA experience, strong data analytics skills, and the ability to influence across stakeholders while upholding

Qualifications

• Bachelor’s degree in Accounting, Finance, Business Administration, Information Systems, or a related field required.
• MBA or advanced degree preferred.
• Professional certification required: CIA, CPA, CISA, CISSP, or PMP.

Responsibilities

• Quality Assurance Reviews: conduct independent QA of audit engagements using manual and AI-enabled techniques; assess conformance to standards, methodology, and regulatory expectations.
• QAIP Support: enhance and sustain QAIP including internal and external assessments; leverage AI and analytics to identify trends and improvement opportunities.
• Reporting, Analytics & Insights: develop quality metrics, dashboards, and executive reporting on QAIP performance and improvements.
• Coaching, Training & Stakeholder Engagement: provide feedback and training on methodology, documentation standards, and AI-enabled auditing techniques.
• Technology, Data Analytics & Innovation: refine AI-assisted review processes; ensure outputs are reliable and aligned with audit standards.

Skills

Analytical

Communication

Stakeholder management

Data analytics

AI-enabled auditing

Education

Bachelor’s degree in Accounting, Finance, Business Administration, Information Systems, or related field

MBA or advanced degree preferred

Tools

AI-enabled tools

QAIP methodologies

Industry standards (IPPF)

Job description

LPL Financial LLC is seeking an AVP, Internal Audit Quality Assurance Lead to advance the QAIP, assess audit workpapers and reports, and drive continuous improvement using AI-enabled quality review capabilities. This role reports to the Head of Professional Practices and partners with audit teams to improve consistency across audits.

The ideal candidate has extensive internal audit and QA experience, strong data analytics skills, and the ability to influence across stakeholders while upholding