LPL Financial · 2 days ago
Internal Auditor
Fort Mill, SC
Full-time
Onsite
Entry, Mid Level
$30.64/hr - $51.07/hr
2+ years expLPL Financial is a leading wealth management firm that empowers professionals to shape their success while helping clients pursue their financial goals. The Staff Internal Auditor will execute finance, operations, and compliance-related internal audits, including SOX and operational control testing, and make recommendations for improving internal control processes.
FinanceFinancial Services
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
Qualification
Required
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
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)
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Chief Executive Officer
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-09
2026-01-09
GlobeNewswire
2026-01-09
Company data provided by crunchbase