SR. Internal AuditApply Job ID: R-023013 Date posted: 05/20/2022 Primary Location SC-Fort Mill Other Locations KS-Overland Park , CA-San Diego
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!
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.
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
- 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.
- 2-5 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
- Understanding of Cyber Security controls and frameworks is a plus
- Solid analytical, problem solving, organization and project management skills
- Pursuing or attained one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)
- 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
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.
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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.