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Data Analytics Auditor

Job ID: R-003119 Date posted: 06/13/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Staff Data Analytics Auditor will be responsible for providing analytic support to the Internal Audit department and company. The ideal candidate will have a strong technical background with the ability to communicate technical processes/issues from a business perspective.  The individual in this role will be primarily responsible for detecting data/logic issues.  The work performed will also include creation and maintenance of department reports and systems.

Essential Functions:

  • Perform process discovery by developing process descriptions and diagrams that can be understood by non-technical audiences.
  • Perform data discovery and analytics using Alteryx, Tableau, R, Excel or other data analytics tools, with direction from team members.
  • Develop scheduled and automated tools.
  • Collaborate and work closely with management and audit colleagues to provide analytics support for overall audit department activities.
  • Complete assigned projects timely, accurately and professionally.
  • Maintain professional skill level through on-going education and training activities to support company needs.


  • Required: Experience developing and executing SQL queries.
  • Required: Understanding of basic programming concepts.
  • Ability to communicate technical material in layman’s terms, both written and verbal.
  • Strong desire to seek solutions to difficult problems through sound problem solving and critical thinking.
  • 1+ years minimum work experience developing data analytics routines.
  • Undergraduate degree in Information Technology, Statistics, Business, Accounting, Finance or related discipline.
  • Preferred: Broker/Dealer Operations experience
  • Preferred: Series 7 or other FINRA certifications
  • Preferred: CPA, CIA, CISA or other related certifications (e.g., CFE, CFA, CISSP, etc.).
  • Preferred: General understanding of financial services (e.g., Broker/Dealer or RIA).

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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.

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