Senior Internal Auditor

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? 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!

Job Overview:
We are currently looking to hire an Information Technology Senior Auditor to help identify, assess and report risks within LPL’s Technology department. This individual will be responsible for executing information technology (IT) internal audits, Sarbanes-Oxley control testing, process reviews and various ad hoc projects assigned to them. This role is hybrid working from home & in office based out of our San Diego, Fort Mill, or Kansas City office 
Responsibilities:

• Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with Internal Audit practices

• Develop audit programs, working papers, and internal audit reports

• Assess technology and business risks and evaluate the effectiveness of controls to mitigate those risks

• Prepare work papers and coordinate receipt of audit materials required to analyze, test and evaluate the control environment

• Participate in planning meetings, conduct walkthroughs and communicate audit findings to local management

• Develop strong working relationships with Technology personnel that promote efficient audit execution

• Interact internally with staff, management, and senior management

• Develop and teach junior IT staff with IT risks and controls

• 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:

• 5+ years of information technology and/or audit experience

• Undergraduate degree in Management Information Systems, Computer Science or related business or accounting degree

• Solid understanding of operating systems, applications, databases and IT infrastructure controls

• Required one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)

Preferences:

• Understanding of Cyber Security controls and frameworks

• Solid analytical, problem solving, organization and project management skills

• Excellent written and verbal communication skills and demonstrated ability to present complex issues to management

• A helpful, respectful and personable approach to client and coworker interactions

• Personal pride in delivering exceptional experiences to clients and coworkers

Pay Range:

$86,288-$143,813/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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 (855) 575-6947.

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