Internal Auditor Internal Auditor …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Internal Auditor
Associate Internal Auditor San Diego/en-US/External/job/San-Diego/Associate-Internal-Auditor_R-009750/apply

We are currently looking to hire an Associate 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. Including but not limited to the following requirements:

Essential Functions:

  • 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


  • Undergraduate degree in Business, Accounting, Finance or related discipline
  • Minimum Experience Required: 0 - 3 years of internship or work experience in internal or external auditing experience, including SOX controls testing (may be waived for internal candidates or candidates with experience on Broker/Dealer operations)
  • 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)
  • General understanding of internal control and the demonstrated ability to evaluate and determine the adequacy of controls by considering regulatory and business risks.

Additional Requirements:

  • 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

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nations largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.

Join the LPL team and help us make a difference by turning lifes aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at (800) 877-7210.

Posted TodayFull timeR-009750

As the nations leading independent broker-dealer*, we offer an

integrated platform of proprietary technology, brokerage, and

investment advisor services to more than 14,000 financial

advisors and approximately 700 financial institutions, enabling

them to help their clients turn life's aspirations into financial

realities. We also support more than 4,000 other financial

advisors with customized clearing solutions, advisory

platforms, and technology.

Weve told you what we do for our customers, but what can we

do for you? 

Well provide you with a work environment that encourages your

creativity and growth, a leadership team thats supportive and

responsive, and the opportunity to create a career that has no

limits, only amazing potential.

*As reported by Financial Planning magazine, June 1996-2017,

based on total revenue.