What are the responsibilities and job description for the Senior Internal Auditor position at LPL Financial Services?
Are you a team player? Are you curious to learn? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
Job Overview:
We are hiring a Senior Internal Auditor within LPL's Internal Audit organization. This person will be responsible for executing finance, operations, and compliance-related internal audits, SOX and Operational control testing, process reviews and various ad hoc projects as assigned.
Responsibilities
* Test and/or review 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 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 want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements
* Undergraduate degree in Business, Accounting, Finance or related discipline
Core Competencies
* General understanding of internal controls and demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.
* 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
Preferences
* 3-6 years relevant financial services compliance, internal or external audit or related area experience
* 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:
$80,880-$121,320/year
The salary range is dependent on a number of factors, including the applicant's skill, experience, and work location.
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? Learn more here
Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
Job Overview:
We are hiring a Senior Internal Auditor within LPL's Internal Audit organization. This person will be responsible for executing finance, operations, and compliance-related internal audits, SOX and Operational control testing, process reviews and various ad hoc projects as assigned.
Responsibilities
* Test and/or review 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 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 want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements
* Undergraduate degree in Business, Accounting, Finance or related discipline
Core Competencies
* General understanding of internal controls and demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.
* 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
Preferences
* 3-6 years relevant financial services compliance, internal or external audit or related area experience
* 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:
$80,880-$121,320/year
The salary range is dependent on a number of factors, including the applicant's skill, experience, and work location.
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? Learn more here
Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at
(800) 877-7210
.Recommended Skills
- Accounting
- Audit Planning
- Business Intelligence
- Business Process Improvement
- Certified Information Security Manager
- Creativity
Salary : $80,880 - $121,320
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