Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to conduct comprehensive audits and develop risk profiles of assigned processes within a functional area. Leads the work of others to conduct audits with smaller scope and complexity. Participates in large or multiple audit projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Recommends process improvements for internal audit processes and procedures in order to improve internal controls. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and management to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

•Drive ongoing audit coverage of assigned functional audit area by developing audit programs.

•Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and procedures.

•Participate in audit engagements from the planning stages to the reporting stages.

•Produce quality deliverables in accordance with both department and professional standards.

•Partner with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls.

•Finalize audit findings and provide an overall report on the control environment.

•Communicate audit findings to management and identify opportunities for improvement of the design and effectiveness of key controls.

•Build and maintain key relationships with stakeholders to establish a culture of engagement while adding value.

•Implement and execute an effective program of continuous monitoring for assigned audit areas.

•Monitor key metrics to identify control issues and adverse trends.

•Stay current with evolving industry and regulatory changes that impact the business.

•Performs other duties and responsibilities as assigned.

Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to conduct comprehensive audits and develop risk profiles of assigned processes within a functional area. Leads the work of others to conduct audits with smaller scope and complexity. Participates in large or multiple audit projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Recommends process improvements for internal audit processes and procedures in order to improve internal controls. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and management to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

•Drive ongoing audit coverage of assigned functional audit area by developing audit programs.

•Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and procedures.

•Participate in audit engagements from the planning stages to the reporting stages.

•Produce quality deliverables in accordance with both department and professional standards.

•Partner with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls.

•Finalize audit findings and provide an overall report on the control environment.

•Communicate audit findings to management and identify opportunities for improvement of the design and effectiveness of key controls.

•Build and maintain key relationships with stakeholders to establish a culture of engagement while adding value.

•Implement and execute an effective program of continuous monitoring for assigned audit areas.

•Monitor key metrics to identify control issues and adverse trends.

•Stay current with evolving industry and regulatory changes that impact the business.

•Performs other duties and responsibilities as assigned.

Qualifications:

•Fundamental concepts, practices and procedures of auditing and risk assessment.

•Fundamental concepts of financial markets and products.

•Fundamental concepts of finance and accounting.

•Understanding of operational risks and related controls of regulations.

•Works well individually and in teams by sharing information, supporting colleagues and encouraging participation.

•Excellent verbal and written communication skills with the ability to present complex and sensitive issues to Senior Management.

•Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness.

•Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.

•Proven ability to multi task, complete projects on time and within a budget, and adapt to changing priorities.

•Enthusiastic, self-motivated, and effective under pressure.

•Planning, organizing and conducting audits.

•Identifying key business processes.

•Identifying and documenting risk management issues.

•Testing key controls within business processes.

•Preparing written reports and delivering oral presentations.

Educational/Previous Experience Requirements:

•Bachelor’s Degree in Business Administration, Finance, or Accounting and a minimum of three (3) years of experience in the financial services industry

~or~

•Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

•None required.

Qualifications:

•Fundamental concepts, practices and procedures of auditing and risk assessment.

•Fundamental concepts of financial markets and products.

•Fundamental concepts of finance and accounting.

•Understanding of operational risks and related controls of regulations.

•Works well individually and in teams by sharing information, supporting colleagues and encouraging participation.

•Excellent verbal and written communication skills with the ability to present complex and sensitive issues to Senior Management.

•Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness.

•Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.

•Proven ability to multi task, complete projects on time and within a budget, and adapt to changing priorities.

•Enthusiastic, self-motivated, and effective under pressure.

•Planning, organizing and conducting audits.

•Identifying key business processes.

•Identifying and documenting risk management issues.

•Testing key controls within business processes.

•Preparing written reports and delivering oral presentations.

Educational/Previous Experience Requirements:

•Bachelor’s Degree in Business Administration, Finance, or Accounting and a minimum of three (3) years of experience in the financial services industry

~or~

•Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

•None required.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:• Grow professionally and inspire others to do the same• Work with and through others to achieve desired outcomes• Make prompt, pragmatic choices and act with the client in mind• Take ownership and hold themselves and others accountable for delivering results that matter• Contribute to the continuous evolution of the firmAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:• Grow professionally and inspire others to do the same• Work with and through others to achieve desired outcomes• Make prompt, pragmatic choices and act with the client in mind• Take ownership and hold themselves and others accountable for delivering results that matter• Contribute to the continuous evolution of the firmAt Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.