What are the responsibilities and job description for the Associate Internal Auditor position at LPL Financial?

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 22,000 financial advisors, 1,100 institution-based investment programs, and 500 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.

Role Overview :

We are currently looking to hire an Associate Auditor within the Internal Audit department. This individual will be responsible for executing finance and operations-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

Minimum Experience Required : 1 years of internship or work experience in internal or external auditing , including SOX controls testing (may be waived for internal candidates or candidates with experience on Broker / Dealer operations)

Preferences :

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

Preference will be given for experience in financial services (e.g., Broker / Dealer or RIA)

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

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

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

Pay Range :

23.94-$39.90 / hourActual 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!

Salary : $24 - $40

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Associate Internal Auditor

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