AVP, Internal Audit Quality Assurance
Listed on 2026-10-04
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Quality Assurance - QA/QC
QA Specialist - Analyst/Manager, Quality Control - QC Analysts/Managers, Regulatory Compliance Specialist
Lead with Purpose, Unlock Your Team’s Passion At LPL, people leaders hold the key to the employee experience - shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win - clients, LPL, and most importantly our, employees. If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.
The AVP, Internal Audit Quality Assurance Lead is a key member of the Internal Audit Professional Practices team and reports to the Head of Professional Practices. This role is responsible for supporting and enhancing the department's Quality Assurance and Improvement Program (QAIP) through independent assessments of audit activities, adherence to Internal Audit Standards, methodology compliance, and audit quality. The AVP will leverage a combination of professional judgment, data analytics, and AI-enabled quality review capabilities to evaluate audit work papers, reports, and supporting documentation;
identify opportunities for continuous improvement; and promote consistency across the audit lifecycle. In partnership with audit teams and department leadership, this position will provide constructive feedback, identify thematic trends, develop quality-related insights, and help drive innovation in audit quality assurance practices. The role will serve as a trusted advisor to audit teams while helping advance Internal Audit's strategic objectives through the use of scalable, technology-enabled quality review processes that strengthen audit effectiveness, expand quality coverage, and support continuous improvement.
The position plays a critical role in establishing and sustaining an internal, AI-enabled quality assurance model that enhances audit quality, operational excellence, and alignment with Internal Audit objectives, regulatory expectations, and industry best practices.
- Quality Assurance Reviews Conduct independent quality reviews of audit engagements using manual and AI-enabled techniques to assess conformance with standards, methodology, and regulatory expectations. Evaluate planning, risk assessment, testing, reporting, issue management, and documentation for quality, consistency, and completeness. Partner with audit teams to resolve observations and promote high-quality, risk-focused audit deliverables.
- Quality Assurance & Improvement Program (QAIP) Support execution and continuous enhancement of the QAIP, including internal and external assessments. Leverage AI, automation, and thematic analysis to identify trends, root causes, emerging risks, and improvement opportunities. Maintain and enhance audit methodologies, templates, guidance, and quality review procedures.
- Reporting, Analytics & Insights Develop and maintain quality metrics, dashboards, and reporting for Internal Audit leadership. Analyze review results using data analytics and AI to identify trends, performance indicators, and quality risks. Prepare executive reporting on audit quality, QAIP performance, and continuous improvement initiatives.
- Coaching, Training & Stakeholder Engagement Provide timely, actionable feedback and coaching on methodology, documentation standards, audit best practices, and AI-enabled auditing techniques. Partner with Professional Practices leadership to advance quality, consistency, and continuous improvement across the audit lifecycle. Deliver training and knowledge-sharing initiatives that strengthen audit capabilities and foster a culture of quality and innovation.
- Technology, Data Analytics & Innovation Evaluate and refine AI-assisted review processes, prompts, workflows, and automation opportunities. Establish controls and validation procedures to ensure AI-generated outputs are…
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