Description

Job Summary:

Operating under professional guidance and demonstrating a high degree of independence, this role utilizes a deep understanding of bank regulatory compliance subject matter and audit skills acquired through education, experience, specialized training, and/or certification to lead Raymond James Financial Internal Audit coverage of bank regulatory compliance for Raymond James Bank. The Internal Auditor will lead a team, develop, implement, execute, and administer the bank's internal audits for compliance to regulations and firm policies and procedures. This role collaborates across multiple business units and the Internal Audit department teams for comprehensive coverage across various bank subsidiaries, technology, and enterprise audit processes. This role operates with the support of the RJ Bank Chief Auditor and requires a keen awareness of banking and regulatory trends, audit data analysis skills, and risk management perspectives.

Essential Duties and Responsibilities:

• Develop and execute a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations.

• Oversee multiple audit engagements from the planning stages through the reporting stages.

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

• Apply expertise in one or more of the organization's businesses and leverages this knowledge into a leadership role in one or more teams.

• Manage Audit Managers and Senior Audit staff.

• Perform human resource management activities including: identifying performance problems, developing plans for remedial action, evaluating performance, and interviewing and selecting staff.

• Attract, develop, and retain talent within the Audit organization.

• Establish strong relationships with senior leaders including executive management, and related control groups.

• Use excellent communication skills to influence a wide range of internal audiences including respective product, function, or executive management partners.

• Hold entire team accountable for meeting deliverables, adhering to Quality Assurance criteria. Use consistent methodology.

• Finalize audit findings and provide an overall opinion on the control environment. Communicate audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls.

• Implement and execute an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends.

• Participate in major business initiatives and proactively advise and assist the business on change initiatives.

• Stay up-to-date with evolving industry and regulatory changes impacting the business.

• Build and maintain effective working relationships with Regulators and External Auditors.

• Manage expenses in accordance with a budget, solving for department inefficiencies and excess spending.

• Performs other duties and responsibilities as assigned.

Qualifications

Qualifications:

• Possess strong project management and interpersonal skills.

• Makes sound decisions, exhibits initiative and intuitive thinking, and is oftentimes consulted by others for advice and opinions. Recognized as a leadership role model.

• In-depth understating of audit practices and methodologies, including risk assessment internal control concepts.

• Specific subject matter expertise regarding control disciplines, and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility.

• Advanced investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

• Managing direct reports including managers and Senior Auditors.

• Demonstrated ability and success in interacting and influencing senior leadership, including executive management.

• Experience in managing against deadlines associated with an annual audit plan.

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

• 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.

• Proven ability to multitask as well as assess and change priorities.

• Ability to work well individually and in teams to share information, support colleagues and encourage participation.

Educational/Previous Experience Requirements:

• Bachelor’s Degree in Business Administration, Finance, Accounting or a related field and a minimum of eight (8) years of experience in the financial services industry.

or

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

Licenses/Certifications:

• CIA, CPA, or CISA Auditing Certification(s) preferred.

• Raymond James Bank is an EOE/AA and VEVRAA Federal Contractor

• Priority will be given to protected veterans

• EOE/AA: F/M/D/V/LGBT

Job: Auditing

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization RJ Bank

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2402244