Senior
Raymond James & Associates, Inc. · Saint Petersburg, Florida · Hybrid
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Plan, conduct, and report internal audits and risk assessments for assigned functional areas in financial services.
Worth knowing: Travel less than 25%
Job Description 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. Job Description 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 and Skills: • Fundamental concepts, practices and procedures of auditing and risk assessment. • Fundamental concepts of financial markets and products. • Fundamental concepts of finance and accounting.
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