Senior IT Auditor

LPL Financial•San Diego, CA

About The Position

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: 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. Including but not limited to the following:

Requirements

Bachelor's degree in Business, Accounting, Finance, Information Systems /Technology or related discipline
Experience: 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