Senior IT 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 Senior IT Internal Auditor within the Internal Audit department, which is a part of LPL’s Internal Audit organization. This person will be responsible for executing technology and integrated internal audits, SOX/SOC1 control reviews, evaluating evidence and testing remediation of control issues, and various ad hoc projects as assigned. Including but not limited to the following:

Roles & Responsibilities:

• Test controls and prepare audit work papers with minimal assistance by the AVP/VP
• 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 IT 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

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:

• Bachelor's degree in Business, Accounting, Finance, Information Systems /Technology or related discipline
• Experience: 2-6 years relevant financial services internal or external audit, compliance / risk, technology or related area experience
• Pursuing or attained IT Audit certification (CISA).

Core Competencies:

• Applies an understanding of governance, risk, and control appropriate to the organization
• 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
• Working knowledge of technology risks such as cybersecurity, IT operations, and application controls.

Preferences:

• Technical IT certifications (Security+, CISM, CISSP), applicable audit designations (e.g. CIA, CFE, CPA), and Broker/Dealer specific licenses (Series 7, 24, etc.)

 

Pay Range:

$88,876-$148,127/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) 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 leade