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Internal Auditor, Assistant Vice President

Job ID: R-017901 Date posted: 10/11/2021 Primary Location CA-San Diego

Are you someone searching for a leadership position in internal audit?

Do you want to pursue or continue a career in financial services? 

Excited to learn more? If so, then this could be the role 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 19,000 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 objective 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 experienced audit professional for “AVP, Internal Audit” within the Internal Audit department. This individual will be responsible for leading Internal Audits, participating in the Internal Audit Risk Assessment, as well as other projects as assigned. You will have a unique view of LPL Financial, its businesses and the supporting technology, with a lens into all aspects of the audit process. As an Internal Audit management team member, you will have the opportunity to work closely with the Chief Audit Executive, business stakeholders, and the Internal Audit team. The mission of Internal Audit is to provide independent, objective assurance and consulting services designed to add value and improve LPL Financial's operations through identifying preventable risk.

Internal Audit supports the Company in accomplishing its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. The objectives of Internal Audit are to assist all levels of management and the audit committee of the company’s board of directors in the effective discharge of their responsibilities, by conducting thorough independent audits of their activities and furnishing recommendations, counsel and information concerning activities reviewed.

Internal Audit functionally reports to the LPL Audit Committee Chair of the Board of Directors, and administratively to the Chief Financial Officer. Internal Audit is part of the larger Finance organization.

Job Overview:

The AVP, Internal Audit will be responsible for leading Internal Audit teams through risk-based audits and department-wide initiatives to drive excellence and continuous improvement in department programs, processes and employee development while ensuring adherence to industry standards and best practices. You will have hands-on experience identifying and assessing operational, compliance, and financial risks across a variety of business functions, evaluating the design of processes and controls, and leading/executing large-scale and complex audits, concurrently. In addition, you will need to exhibit strong technical and communication skills necessary to navigate a complex environment and cultivate strong partnerships with key stakeholders.  

Responsibilities:

  • Plan, scope, and execute risk based audits including understanding business processes and underlying systems, support teams in conducting interviews and process walkthroughs, and designing audit procedures to assess the efficiency and effectiveness of the key business processes.
  • Communicate the results of audits via written reports and oral presentations to management. Interpret the significance of audit insights, make practical recommendations, and collaborate with stakeholders on remediation action plans. Determine the root cause of deficiencies, and assist management with the development of remediation plans.
  • Serve as a coach and mentor and provide opportunities for on-the-job training for staff, as well as other team members
  • Develop and host trainings to internal audit staff in support of continuous improvement and development
  • Participate in the Internal Audit Risk Assessment in developing and executing a dynamic risk based audit plan to address high-risk areas.
  • Build effective working relationships and trust with business partners across the organization.
  • Participate in recruiting, on-boarding & development of Internal Audit personnel
  • Assist in special projects for Internal Audit, Finance or the company as a whole

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. We want a leader that has hands-on experience identifying and evaluating financial, operational and technology risks, and managing teams that identify risk and assess the design and effectiveness of internal controls.

Requirements:

  • BA/BS in Accounting or Finance or related field.
  • Strong understanding of risk and internal controls and IPPF Internal Auditing Standards to evaluate and determine the adequacy of controls
  • Demonstrated ability to build productive relationships with all levels of management
  • 5-7 years of audit, controls, or advisory experience from large national/international accounting firms, or large public companies and/or internal controls related experience preferred
  • Strong verbal and written communication skills
  • An appropriate certification in accounting and/or auditing is a plus, such as a CPA, CISA and/or CIA

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 @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.

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