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Sr Internal Auditor, Compliance

Job ID: R-002425 Date posted: 03/13/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

We are currently looking to hire a Senior Internal Auditor, Compliance 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

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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