Senior IT Auditor

LPL Financial • San Diego, CA

2d

About The Position

We are currently looking to hire a Senior IT Internal Auditor within the Internal Audit department, which is a part of LPL’s Internal Audit organization. This person will be responsible for executing technology and integrated internal audits, SOX/SOC1 control reviews, evaluating evidence and testing remediation of control issues, and various ad hoc projects as assigned.

Requirements

• Bachelor's degree in Business, Accounting, Finance, Information Systems /Technology or related discipline
• 2-6 years relevant financial services internal or external audit, compliance / risk, technology or related area experience
• Pursuing or attained IT Audit certification (CISA).
• Applies an understanding of governance, risk, and control appropriate to the organization
• Applies process analysis, business intelligence, and problem-solving techniques
• Strong 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
• Working knowledge of technology risks such as cybersecurity, IT operations, and application controls.

Nice To Haves

• Technical IT certifications (Security+, CISM, CISSP), applicable audit designations (e.g. CIA, CFE, CPA), and Broker/Dealer specific licenses (Series 7, 24, etc.)

Responsibilities

• Test controls and prepare audit work papers with minimal assistance by the AVP/VP 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 IT auditors on assigned projects
• Work closely with business units and audit colleagues to identify and assess risk and controls to support adequate audit coverage
• Work with audit colleagues and business units to 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

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Senior