LPL Financial · 18 hours ago
Branch Auditor
Tempe, AZ
Full-time
Hybrid
Mid Level
$66K/yr - $109K/yr
3+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success while helping clients pursue their financial goals. The Branch Auditor will independently perform branch examinations, consult with branch managers and advisors, and ensure compliance with federal and state regulations.
FinanceFinancial Services
Responsibilities
Responsible for independently performing all functions of branch examination, including thorough evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations (may be onsite or virtual depending on the needs of the business)
Conduct virtual and/or in-person consultations with branch manager, advisors, and support staff
Prepare audit letter based on deficiencies identified during branch examination and provide instructions, both verbally and in writing, to correct deficiencies and operate an office that is in compliance with all regulations
Use all company-provided tools and systems required to perform thorough audit and document findings in detail
Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses
Collaborate with peers and management to streamline processes and create efficiencies for the department
Qualification
Required
Bachelor's degree or minimum of three years of experience in the financial services industry
Possibility of some domestic travel (up to 20%) which will require the carrying of luggage and audit paperwork (approx. lifting at least 40 pounds)
Proficient in Microsoft applications (Word, Excel, Outlook)
Must have excellent customer service skills, be a consultative partner, and be able to communicate effectively with individuals at various levels, both verbal and written
Ability to proactively identify risk and use sound judgement to know when to 'ask the next question' as potential risk areas are found
Preferred
FINRA securities registrations (including SIE, Series 7, and Series 24 licenses) preferred
Prior compliance or supervisory experience preferred
Professional demeanor to represent LPL in a client-facing role and across all levels within and outside the organization
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
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
IndiaTimes
2026-02-05
2026-01-23
Company data provided by crunchbase