Sr Internal Auditor

Senior Internal Auditor

Job Description:

We are currently looking to hire a Senior Internal Auditor within the Internal Audit department, 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.

• Test controls and prepare audit work papers with minimal assistance by the AVP/VP.
• Review audit work papers for associate and staff level auditors.
• 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.
• 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.
• 3‑6 years relevant financial services compliance, internal or external audit, or related area experience.
• 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 process analysis, business intelligence, and problem solving techniques.
• 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.

• Pursuing or attained Broker/Dealer specific license (Series7, 24, etc.) or one applicable audit designation (e.g. CPA, CIA, CFE, CISA) or other related certification.

$78,383.00 – $ (Actual base salary varies based on relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.)

LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

EOE.