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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lpl.com.
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Associate Internal Auditor (Entry Level)

Job ID: R-014221 Date posted: 04/26/2021 Primary Location SC-Fort Mill

Are you interested in starting your career in audit?

Excited to learn more? If so, then this could be the role for you! 

Job Overview

We are currently looking to hire an Associate Auditor within the Internal Audit department. This individual will be responsible for executing finance, operations, and compliance related internal audits, control testing in our Controls Report Testing Program (comprised of SOX, SOC 1, and two other industry specific reports), process reviews and various ad hoc projects assigned to them.

What will you do?

  • Performs tests of design and operating effectiveness of key internal controls which includes the performance of walk-throughs and documenting processes, control testing, evaluation of control deficiencies and coordination with external auditors

  • Performs audits of financial, operational and other business risk areas for adequate management controls, efficiency, and compliance with policies, regulations and accounting principles

  • Makes recommendations for changes to streamline and improve internal control processes and department procedures

  • Documents business systems/processes using narrative and/or flowcharting techniques and prepares work papers that contain adequate evidence to support audit conclusions and findings

  • Performs follow up procedures on previously identified outstanding audit issues and assists in the status update reporting process

  • Keeps up-to-date with the industry's best practices by initiating and attended job related training

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

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.

What skills, experiences, and education are required?

  • Undergraduate degree in Business, Accounting, Finance or related discipline•   

  • Minimum Experience Required: 0 - 3 years of internship or work experience in internal or external auditing experience, including SOX controls testing (may be waived for internal candidates or candidates with experience on Broker/Dealer operations)

  • Preferred: Pursuing or attained one applicable audit designation (CPA, CIA, CFE, CISA, etc.).

  • Preference will be given for experience in financial services (e.g., Broker/Dealer or RIA)

  • General understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.

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 @lpl.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.

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  • Finance, Fort Mill, South Carolina, United StatesRemove