Manager
Raymond James & Associates, Inc. · Saint Petersburg, Florida · Hybrid
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Lead and perform Sarbanes Oxley and operational audits, test controls, and report findings for financial services processes.
Worth knowing: Less than 25 percent travel
Job Description 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. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectives in achieving specified results. Maintains extensive contact with executive management to lead others in identifying, researching, analyzing, and resolving complex issues. Job Description 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. 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, especially those associated with assigned area. Planning, organizing, and conducting audits.
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