LPL Financial

Sr Internal Auditor

LPL Financial$78K — $130K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Undergraduate degree in Business, Accounting, Finance or related discipline
  • 3-6 years of experience in compliance, internal or external audit
  • General understanding of Financial Services regulatory compliance
  • Demonstrated ability to assess adequacy of controls considering business risks
  • Pursuing or have an audit designation (e.g. CPA, CIA, CFE, CISA) is preferred

Responsibilities

  • Execute compliance-related internal audits and process reviews
  • Prepare audit work papers independently
  • Lead audit planning, testing, and remediation efforts
  • Ensure timely and efficient completion of audits
  • Mentor junior auditors and support their development
  • Collaborate with business units to assess risks and controls
  • Make actionable recommendations for improving controls

Benefits

  • 401K matching
  • Health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
Full Job Description

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

#LI-PA


Pay Range:

$78,383.00 - $130,707.00
 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!
 

About LPL Financial

LPL Financial is the largest organization of independent financial advisors in the United States. LPL Financial was formed in 1989 through the merger of two brokerage firms: Linsco (established in 1968) and Private Ledger (established in 1973); and has since expanded its number of independent financial advisors from a few hundred to more than 13,300 in 2012. LPL Financial has main office locations in Boston, Charlotte, and San Diego. Approximately 2,900 employees support financial advisors; financial institutions; and technology, custody, and clearing service subscribers with enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. LPL Financial advisors help clients meet investment goals with a number of financial services, including equities, bonds, mutual funds, annuities, insurance, and fee-based programs. Unlike many other brokerage firms, LPL Financial does not develop its own investment products, enabling the firm’s investment professionals to offer financial advice free from broker/dealer-inspired conflicts of interest.

LPL Financial Careers

Join the dynamic team at LPL Financial, a leader in the financial services industry, and be part of a company that values innovation, leadership, and professional growth. At LPL Financial, we offer unparalleled job opportunities that propel your career forward while fostering a culture of diversity and inclusion.

Work You’ll Do

At LPL Financial, you’ll engage in meaningful work that directly impacts our clients and the financial industry. As part of our team, you will: - Utilize your skills to drive innovation and operational excellence. - Collaborate with seasoned professionals in a culture that celebrates diversity and inclusion. - Lead projects that transform our services and client experiences at the intersection of technology and financial consultancy.

Join Our Market-Leading Team

LPL Financial is not just a company; it's a community where you can build a career. Our team of experts is dedicated to providing guidance and support that enhances your professional journey: - Participate in diversity training programs that prepare you for leadership roles within and beyond the company. - Engage in networking opportunities that connect you with industry leaders and peers. - Benefit from a robust suite of benefits designed to support your physical, emotional, and financial well-being.

Innovative Growth and Development

We believe in nurturing the growth of our employees through: - Comprehensive professional development programs that include certifications, seminars, and workshops. - Leadership tracks that encourage innovation and strategic thinking. - Internship programs that offer real-world experience and a pathway to full-time employment.

Explore Job Opportunities

Whether you’re just starting your career or looking for a new challenge, LPL Financial offers a range of positions from entry-level to executive. We are committed to hiring talented individuals who are passionate about the financial services industry and dedicated to client success. - Search open positions that match your skills and interests. - Prepare your resume and refine your interview techniques with our career resources. - Discover the rewards of a career at LPL Financial, where your ambitions are met with endless opportunities.

Stay Connected

Join our team and stay ahead with career tips, insider perspectives, and industry-leading insights you can put to use today—all from the people who work here. - **Search LPL Financial Jobs** - **Read Careers Blog**

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Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Explore the exciting and rewarding opportunities that await at LPL Financial. At LPL Financial, we empower our employees to excel in their careers and lead the way in the financial services industry. Join us and make a difference with your passion, curiosity, and drive.
Learn more about LPL Financial
Size
6,059 employees
Market Cap
$16.6 billion
Industry
Net Income
$472.6 million
Founded
2006
5 Year Trend
+13.8%
Revenue
$5.8 billion
NASDAQ

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