Sr Internal Auditor

Job Description

We are currently looking to hire a Senior Internal Auditor within the Internal Audit department, which is a part of LPL’s Internal Audit organization. This person will be responsible for executing compliance-related internal audits, process reviews and various ad hoc projects as assigned. Including but not limited to the following:

• Test controls and prepare audit work papers with minimal assistance by the AVP/VP
• Review audit work papers for associate and staff level auditors
• Lead and execute all areas of audits including audit planning, audit testing, control evaluation, and testing issue remediation
• Execute audits in accordance with department and professional standards, and complete assignments timely and in an efficient manner
• Mentor Staff level auditors on assigned projects
• Work closely with business units and audit colleagues to identify and assess risk and controls to support adequate audit coverage
• Work with audit colleagues and business units to test and report on the adequacy and effectiveness of management controls
• Make recommendations for improvement of the control environment through audits or project participation
• Complete assigned ad hoc projects timely, accurately and professionally
• Maintain and enhance skills through on-going education and training activities to support company needs

Requirements:

• Undergraduate degree in Business, Accounting, Finance or related discipline
• Experience: 3-6 years relevant financial services compliance, internal or external audit or related area experience
• General understanding of Financial Services (Broker/Dealer or RIA) regulatory compliance, and demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.

Core Competencies:

• Applies process analysis, business intelligence, and problem solving techniques
• Strong written and verbal skills and demonstrated ability to present complex issues to management
• Ability to manage multiple tasks concurrently in an efficient and effective manner with minimal supervision

Preferences:

• Pursuing or attained Broker/Dealer specific license (Series 7, 24, etc.) or one applicable audit designation (e.g. CPA, CIA, CFE, CISA) or other related certification

Pay Range:

$76,125-$126,875/year
 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC1.22.25