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Information Technology Risk Auditor at LPL Financial

Posted in Other 30+ days ago.

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Type: Full Time
Location: Fort Mill, South Carolina

Job Description:

We are currently looking to hire an Information Technology Risk Auditor to help identify, assess and report risks within LPL s Technology department. This individual will be responsible for executing information technology (IT) internal audits, Sarbanes-Oxley control testing, process reviews and various ad hoc projects assigned to them.


* Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with Internal Audit practices

* Develop audit programs, working papers, and internal audit reports

* Assess business risks and evaluate the effectiveness of controls at the network, operating system, database and application levels

* Develop strong working relationships with Technology personnel that promote efficient audit execution.

* Maintain and enhance skills through on-going education and training activities to support company needs


* 1-3 year's experience with IT, including IT security, risk assessment or compliance

* Undergraduate degree in Management Information Systems, Computer Science or related discipline

* Pursuing or attained one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)


* Interact internally with staff, management, and occasionally senior management.

* 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
Personal pride in delivering exceptional experiences to clients and coworkers


LPL Financial is a leader in the retail financial advice market and the nation s 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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.


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 life s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.