Internal Auditor

LPL Financial • Charlotte, NC

1d • $31 - $51

About The Position

At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. 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.

Requirements

• Undergraduate degree in Business, Accounting, Finance or related discipline.
• Minimum Experience Required: 2+ years of internal or external auditing experience, including SOX controls testing.
• 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

Nice To Haves

• Preferred: 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)

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

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 5,001-10,000 employees