Sr Internal Auditor

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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

• 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:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

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.

EAC 5.19.26