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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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Information Technology Risk Auditor

Job ID: R-011885 Date posted: 11/10/2020 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you someone currently looking to pursue a career in IT internal audit?

Do you already have 1-2 years’ experience with IT audit, IT security, and/ or IT risk?

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

Job Overview:

We are currently looking to hire an Information Technology Risk 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.

What will you do?

  • 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 business risks and evaluate the effectiveness of controls at the network, operating system, database and application levels
  • Develop strong working relationships with Technology personnel that promote efficient audit execution.
  • Maintain and enhance skills through on-going education and training activities to support company needs
  • Interact internally with staff, management, and occasionally senior management.

What does success look like in the first 90 days?

Success for this individual would be to gain an understanding of the Internal Audit Methodology as well as to execute assigned controls evaluation responsibilities effectively.

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

  • 1-3 year's experience with IT, including IT security, risk assessment or compliance
  • Undergraduate degree in Management Information Systems, Computer Science or related discipline
  • Pursuing or attained one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)
  • 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

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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