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 Overview:

We are currently looking to hire a Staff Internal Auditor within the Internal Audit department. This individual will be responsible for executing finance, operations, and compliance related internal audits, SOX and Operational control testing, process reviews and various ad hoc projects assigned to them.

Responsibilities:

• Performs tests of design and operating effectiveness of key internal controls which includes the performance of walk-throughs and documenting processes, control testing, evaluation of control deficiencies and coordination with external auditors

• Performs audits of financial, operational and other business risk areas for adequate management controls, efficiency, and compliance with policies, regulations and accounting principles

• Makes recommendations for changes to streamline and improve internal control processes and department procedures

• Documents business systems/processes using narrative and/or flowcharting techniques and prepares work papers that contain adequate evidence to support audit conclusions and findings

• Performs follow up procedures on previously identified outstanding audit issues and assists in the status update reporting process

• Keeps up-to-date with the industry's best practices by initiating and attended job related training

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Undergraduate degree in Business, Accounting, Finance or related discipline.

• Minimum Experience Required: 2+ years of internal or external auditing experience, including SOX controls testing.

Core Competencies:

• General understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.

• Interact internally with staff, management, and occasionally senior management.

• Ability to multi-task, think independently and problem solve in a results driven team oriented environment

• Written and verbal skills and demonstrated ability to present complex issues to management

• A helpful, respectful and personable approach to client and coworker interactions

• The ability to listen, empathize and respond in a timely manner

• Personal pride in delivering exceptional experiences to clients and coworkers

Preferences:

• Preferred: Pursuing or attained one applicable audit designation (CPA, CIA, CFE, CISA, etc.).

• Preference will be given for experience in financial services (e.g., Broker/Dealer or RIA)

#LI-PA

 

Pay Range:

$30.65-$51.05/hour

 

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) 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 b