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Staff Auditor

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Job ID R-025041 Date posted 08/19/2022 Primary Location CA-San Diego Other Locations SC-Fort Mill

Are you a team player? Are you curious to learn? 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.

Job Overview:

We are currently looking to hire a Staff Internal Auditor within the Internal Audit department. This individual will be responsible for executing finance, operations, and compliance related internal audits, SOX and Operational control testing, process reviews and various ad hoc projects assigned to them. Including but not limited to the following requirements:

Responsibilities:

  • Performs tests of design and operating effectiveness of key internal controls which includes the performance of walk-throughs and documenting processes, control testing, evaluation of control deficiencies and coordination with external auditors

  • Performs audits of financial, operational and other business risk areas for adequate management controls, efficiency, and compliance with policies, regulations and accounting principles

  • Makes recommendations for changes to streamline and improve internal control processes and department procedures

  • Documents business systems/processes using narrative and/or flowcharting techniques and prepares work papers that contain adequate evidence to support audit conclusions and findings

  • Performs follow up procedures on previously identified outstanding audit issues and assists in the status update reporting process

  • Keeps up-to-date with the industry's best practices by initiating and attended job related training

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.

Requirements:

  • Undergraduate degree in Business, Accounting, Finance or related discipline 

  • 2+ years of internal or external auditing experience, including SOX controls testing.

Core Competencies:

  • General understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.

  • Interact internally with staff, management, and occasionally senior management.

  • Ability to multi-task, think independently and problem solve in a results driven team oriented environment

  • A helpful, respectful and personable approach to client and coworker interactions

  • The ability to listen, empathize and respond in a timely manner

  • Personal pride in delivering exceptional experiences to clients and coworkers

  • Excellent written and verbal skills and demonstrated ability to present complex issues to management

Preferences:

  • Pursuing or attained one applicable audit designation (CPA, CIA, CFE, CISA, etc.).

  • Experience in financial services (e.g., Broker/Dealer or RIA)

#LH

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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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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