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 hiring an Internal Auditor within LPL’s Internal Audit organization. This person will be responsible for executing risk-based finance, operations, and compliance-related internal audits, SOX and Operational controls testing, process reviews and various ad hoc projects as assigned.

Responsibilities

• Assist with the execution of all phases of risk-based audits including audit planning, testing, reporting, and validating issue remediation activities

• Work with audit colleagues and business units to test and report on the adequacy and effectiveness of management controls

• Execute assignments received in a timely manner while also maintaining quality that is in accordance with department and professional standards

• 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 professional education and training activities to support company needs

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 other related discipline

• 1 years relevant financial services compliance, internal or external audit or related area experience

Core Competencies

• General understanding of internal controls and demonstrated ability to evaluate and determine the adequacy of controls by considering the relevant risks and objectives

• Applies an understanding of governance, risk, and control concepts appropriate to the organization

• Applies critical-thinking and problem-solving techniques

• Strong written and verbal communication skills

• Ability to manage multiple tasks concurrently in an efficient and effective manner

Preferences

• Pursuing or attained a Broker/Dealer specific license (Series 7, 24, etc.) or one applicable audit designation (e.g. CPA, CIA, CFE, CISA) or other related certification

Pay Range:

$27.92-$41.88/hour
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

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 (855) 575-6947.