SVP - Internal Audit

Job Overview

The SVP, Internal Audit reports directly to the Chief Audit Executive (CAE). The CAE reports directly to the Audit Committee of LPL Financial and administratively to the President & CFO. The SVP, Internal Audit works very closely with the Business Unit senior leadership as well as other key leaders and control functions across the firm to evaluate and improve the effectiveness of risk management, internal controls and governance processes. This role operates in a highly regulated, fast-changing environment, ensuring compliance with FINRA and SEC regulatory requirements. It is responsible for leading risk-based internal audits of our operations while working collaboratively across the Internal Audit team.

Responsibilities:

Audit Strategy & Planning