What are the responsibilities and job description for the Internal Auditor position at LPL Financial?
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:
The Data Analytics Internal Auditor provides data analytics support to the Internal Audit department by identifying, assessing, and reporting risks through analytics, automation, and visualization. This role supports risk‑based audits through full‑population testing, anomaly detection, and repeatable analytic routines. The ideal candidate has a technical foundation, is eager to learn, and can translate data insights into clear business observations.
This position offers exposure to a broad range of business areas and technologies while contributing to continuous improvement in audit coverage and efficiency.
This role is hybrid, working from home and in the office, based out of Fort Mill, SC.
Responsibilities:
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:
$30.64-$51.07/hour
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
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.
EAC12.9.25
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:
The Data Analytics Internal Auditor provides data analytics support to the Internal Audit department by identifying, assessing, and reporting risks through analytics, automation, and visualization. This role supports risk‑based audits through full‑population testing, anomaly detection, and repeatable analytic routines. The ideal candidate has a technical foundation, is eager to learn, and can translate data insights into clear business observations.
This position offers exposure to a broad range of business areas and technologies while contributing to continuous improvement in audit coverage and efficiency.
This role is hybrid, working from home and in the office, based out of Fort Mill, SC.
Responsibilities:
- Perform data discovery and analytics to support Internal Audit projects using approved analytics and visualization tools.
- Execute full‑population testing, exception testing, and basic anomaly detection under guidance from senior audit team members.
- Assist in assessing business risks and control effectiveness across applications, databases, and processes.
- Develop and maintain repeatable analytic routines, workflows, and scripts to improve audit efficiency.
- Create clear visualizations, dashboards, and summary materials to communicate results to audit stakeholders.
- Document analytic logic, data sources, and results in a manner understandable to non‑technical audiences.
- Collaborate with audit teams and business partners to obtain data, validate results, and support audit objectives.
- Contribute ideas for improving automation, analytics coverage, and use of emerging tools (e.g., Gen AI) within Internal Audit.
- Maintain professional skill development through on‑the‑job learning and training.
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:
- Demonstrated experience supporting data analytics, audit, risk, or related analytical work, typically through two or more years of relevant professional experience or equivalent practical exposure.
- Ability to query, analyze, and validate structured and semi structured data using common analytical or scripting concepts, such as workflows, automation, or basic programming techniques.
- Hands‑on experience with at least one data analytics, visualization, or automation platform (for example Tableau, Power BI, Alteryx, Python, or Microsoft Power Platform).
- Communication skills, with the ability to clearly document analytic logic and explain technical results to non technical stakeholders.
- Bachelor’s degree in a relevant field (such as information technology, statistics, business, accounting, or finance) or an equivalent combination of education, training, and experience.
- Prior Internal Audit, External Audit, or Risk experience.
- Exposure to financial services environments (e.g., Broker/Dealer, RIA).
- Experience working with relational databases and/or cloud‑based platforms (e.g., Azure, AWS).
- Hands‑on experience with data validation, reconciliation, and analytic support for audits.
- Proficiency in Excel for analysis and data validation.
$30.64-$51.07/hour
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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.
EAC12.9.25
Salary : $31 - $51