Senior Internal Auditor - Compliance

Lincoln National Corporation   •  

Greensboro, NC

Industry: Accounting, Finance & Insurance


5 - 7 years

Posted 79 days ago

This job is no longer available.

Lincoln Financial Group, a Fortune 250 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Our core business areas — Life Insurance, Annuities, Retirement Plan Services and Group Protection — focus on supporting, preserving and enhancing over 17 million customer’s lifestyles and retirement outcomes.

Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $253 billion in assets under management as of December 31, 2017.

Ranked one of the Best Large Employers in America by Forbes magazine, Lincoln Financial Group makes a serious investment in our employees’ futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.

The Role

As the Senior Internal Auditor - Compliance, you will provide an independent, assurance approach to identifying and mitigating controls risks with respect to compliance with applicable laws and regulations. You will also be responsible for providing an independent evaluation of the adequacy and effectiveness of the system of internal controls. You will perform work in accordance with department and professional audit standards. You will prepare audit planning documents, risk and scope assessments, test plans, work papers and auditreports. You will be responsible for evaluating risk management, control, and governance processes. You will also have exposure to LFG's operations, IT, and SOX audit teams. This is an exciting position with an opportunity for growth.


Internal Audit

  • Provide oversight and ensure completion of assigned audits. Audits should be consistent, timely, high quality and be a value-added work product for management
  • Planaudit engagements, identify inherent risks and control objectives, and draft the audit deliverables defined in the audit methodology
  • Perform audit testing and work with Company management during audit
  • Draft Audit Reports and other written communications, including the review and editing of team members’ writing
  • Coordinate and participate in client closing meetings
  • Conduct detailed audit work paper reviews
  • Develop and present training materials within and outside the Internal Audit Department
  • Provide a point of escalation for problems related to the program such as response to issues related to testing and/or issue mitigation
  • Manage the audit issue follow-up process to close
  • Stay up to date on legal and regulatory developments that affect the Company

Accounting / Auditing Software

  • Use automated software tools and keep abreast of current technology in the department and in the client areas

Relationship Management/Collaboration

  • Collaborate effectively, develop and manage effective relationships with key stakeholders, including various levels of management throughout the enterprise and external auditors and clients to foster and promote Internal Audit’s reputation as a value-added business partner
  • Partner with legal, finance, compliance, risk management and other control groups establishing strong work relationships, while maintaining independence



  • Undergraduate degree or 4+ years comparable work experience; educational concentration in Accounting or Finance preferred
  • Licensing and/or certification: CPA, CIA or Series 7 designation desired


  • 5 years+ of experience in Legal/Compliance or Internal Audit that directly aligns with the specific responsibilities for this position
  • Sound knowledge of internal audit methodology, including the COSO Internal Control framework and IIA Standards
  • Strong knowledge of financial services, specifically life insurance and broker-dealer businesses and the drivers of financial and operational strength of these businesses
  • Significant work experience and/or proficiency in: organizational, time management, and analytical skills
  • General research and analysis skills and experience#LI-CG1

Requisition #57343