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 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. 

Responsibilities: 

• 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. 

• Interact internally with staff, management, and occasionally senior management 

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

 
What are we looking for? 
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. 

Requirements: 

• Bachelor’s degree in Management Information Systems, Computer Science,or related disciplines 

• 1-3 years’ experience with IT, including IT security, risk assessment or compliance 

 
Core Competencies: 

• Experience with IT, including IT security, risk assessment or compliance 

• Undergraduate degree in Management Information Systems, Computer Science, Accounting, Finance, or related discipline 

• 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 

 
Preferences: 

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

#LI-PA

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s 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 @lplfinancial.com 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 applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26