Sr Internal Auditor

Job Overview

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.

Responsibilities

• 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
• 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

$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.

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.

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.