Senior Advisor, Internal Audit / RJ Bank

Raymond James Financial, Inc. • Saint Petersburg, FL • 1d ago

Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to conduct comprehensive audits, including Sarbanes Oxley and operational audits, and develop risk profiles of assigned processes within a functional area for Raymond James Bank. 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.

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.

Knowledge of:

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

Fundamental concepts of financial markets and products.

Fundamental concepts of finance and accounting.

Operational risks and related controls of regulations.

Skill in:

Sharing information, supporting colleagues and encouraging participation.

Assessing the probability and impact of an internal control weakness.

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.

Ability to:

Build strong relationships with stakeholders, learn quickly, be flexible and think strategically.

Multi task, complete projects on time and within a budget, and adapt to changing priorities.

Demonstrate enthusiasm, self-motivation, and effectiveness under pressure.

Education/Previous Experience

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

OR ~

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

Licenses/Certifications

CIA or CPA Certification(s) preferred.

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