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Senior Internal Auditor

Job ID: R-008038 Date posted: 02/11/2020 Primary Location SC-Fort Mill

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. This person will be responsible for executing compliance-related internal audits, process reviews and various ad hoc projects as assigned. Including but not limited to the following:

•    Test 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


•    Undergraduate degree in Business, Accounting, Finance or related discipline
•    Experience Preferred: 3-6 years relevant financial services compliance, internal or external audit or related area experience
•    Preferred: 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
•    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.
•    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

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 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