Sr Internal Auditor

LPL Financial•Fort Mill, SC

1d•$78,383 - $130,707

About The Position

We are currently looking to hire a Senior Internal Auditor within the Internal Audit department, which is a part of LPL’s Internal Audit organization. This person will be responsible for executing compliance-related internal audits, process reviews and various ad hoc projects as assigned.

Requirements

Undergraduate degree in Business, Accounting, Finance or related discipline
3-6 years relevant financial services compliance, internal or external audit or related area experience
General understanding of Financial Services (Broker/Dealer or RIA) regulatory compliance, and demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.
Applies process analysis, business intelligence, and problem solving techniques
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

Nice To Haves

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

Responsibilities

Test controls and prepare audit work papers with minimal assistance by the AVP/VP
Review audit work papers for associate and staff level auditors
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 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