Job Description Summary

Under general direction, uses extensive knowledge and skills obtained through education and to conduct comprehensive operational, compliance, and financial audits for Raymond James Internal Audit’s Wealth Management Team. Manages the work of other auditors to conduct operational audits and develop risk profiles in a variety of functional areas. Leads large or multiple projects with significant scope and impact. Leverages available technology and analytic approaches in evaluating data. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with executive management to lead others in identifying, researching, analyzing and resolving complex issues.

Job Description

Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and to conduct comprehensive operational, compliance, and financial audits for Raymond James Internal Audit’s Wealth Management Team. Manages the work of other auditors to conduct operational audits and develop risk profiles in a variety of functional areas. Leads large or multiple projects with significant scope and impact. Leverages available technology and analytic approaches in evaluating data. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with executive management to lead others in identifying, researching, analyzing and resolving complex issues.

Responsibilities:

• Drive audit coverage of assigned functional audit area by developing various audit programs.
• Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and regulations.
• Lead audit engagements from the planning stages to the reporting stages and produce quality deliverables that meet both department and professional standards.
• Partner with colleagues and stakeholders to evaluate, test and report the effectiveness of management controls.
• Finalize audit findings and provide an assessment of the control environment.
• Communicate audit findings to management and identify opportunities for improvement of the design and effectiveness of key controls.
• Lead the management of Internal Audit identified issues with stakeholders and provide oversight including issue validation.
• Build and maintain relationships with stakeholders. Add value by establishing a culture of engagement.
• Create and execute an effective monitoring program for assigned areas to monitor key metrics that identify control issues and adverse trends.
• Review work performed and provide honest and constructive feedback.
• Serve as a technical resource for other auditors.
• Maintain industry knowledge of evolving and regulatory changes that impact the business.
• Performs other duties and responsibilities as assigned.

Knowledge of

• Understanding of audit practices and methodologies, including risk assessment internal control concepts.
• Experience in managing projects against deadlines, as well as experience with annual audit plans.
• Specific subject matter expertise regarding control disciplines.
• Understanding of financial services, products and services, including relevant regulations (e.g. FINRA, SEC), especially those associated with broker-dealer and registered investment advisor business models.
• Planning, organizing and conducting audits.
• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.
• Enthusiastic, self-motivated, effective under pressure, and willing to take personal risk and accountability.
• Strong interpersonal skills to interface with all levels of internal and external audit associates and management.
• Proven ability to build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.
• Proven ability to multitask as well as assess changing priorities.
• Ability to analyze risk and proactively identify discrepancies.
• Ability to work well individually and in teams to share information and support one another.
• Testing key controls within business processes.
• Preparing written reports and delivering oral presentations.

Skill in

• Managing projects against deadlines, including annual audit plans.
• Planning, organizing and conducting audits.
• Testing key controls within business processes.
• Preparing written reports and delivering oral presentations.

Ability to

• Planning, organizing and conducting audits.
• Present complex and sensitive issues to management in a persuasive manner.
• Demonstrate enthusiasm, self-motivation, and effectiveness under pressure, and willingness to take personal risk and accountability.
• Interface with all levels of internal and external audit associates and management.
• Build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.
• Multitask as well as assess changing priorities.
• Analyze risk and proactively identify discrepancies.
• Work well individually and in teams to share information and support one another.

Education/Previous Experience

• Bachelor’s Degree in Business Administration, Accounting, Finance or related field with a minimum of six (6) years of experience in the financial services industry.

• OR ~

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

Licenses/Certifications

• SIE, Series 7, CIA, CPA, or CISA Auditing Certification(s) preferred

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 6 to 10 years

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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 firm

At 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.

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