Skip Navigation
Search Our Jobs

Search Our Jobs

Click Here to View All Available Opportunities at LPL Financial

Internal Auditor

Job ID: R-002490 Date posted: 03/19/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

We are currently looking to hire a Staff Auditor within the Internal Audit department. This individual will be responsible for executing finance and operations-related internal audits, SOX control testing, process reviews and various ad hoc projects assigned to them. Including but not limited to the following requirements:

Essential Functions:

•    Execute all areas of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting, and issue remediation.
•    Execute audits in accordance with department and professional standards, and complete assignments timely in an efficient manner.
•    Technical Resource for the group over finance (accounting) or operations related issues. Work closely with business units and audit colleagues to identify and assess risk and controls to support adequate audit coverage.
•    Prepare audit work papers and reports with minimal intervention by the VP, Internal Audit.
•    Work with audit Seniors and colleagues and business units to test and report on the adequacy and effectiveness of management controls.
•    Complete assigned ad hoc projects timely, accurately and professionally. Maintain and enhance skills through on-going education and training activities to support company needs.


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

•    Minimum Experience Required: 2 years of 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.

Additional Requirements:

•    Interact internally with staff, management, and occasionally senior management.
•    Excellent written and verbal skills and demonstrated ability to present complex issues to management
•    A helpful, respectful and personable approach to client and coworker interactions
•    The ability to listen, empathize and respond in a timely manner
•    Personal pride in delivering exceptional experiences to clients and coworkers

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Sign Up for Email Alerts!

Areas of InterestStay up-to-date about the latest opportunities at LPL Financial! Choose at least one category and/or location from the auto-suggestions and click 'Add' to subscribe.

  • All, Fort Mill, South Carolina, United StatesRemove
  • All, San Diego, California, United StatesRemove
  • Finance, Fort Mill, South Carolina, United StatesRemove
  • Finance, San Diego, California, United StatesRemove