Staff
Raymond James & Associates, Inc. · Saint Petersburg, Florida · Hybrid
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Plan and execute internal audits, test controls, analyze risks and recommend improvements for financial services processes.
Job Description Summary Under general supervision, uses knowledge and skills obtained through education, experience, training and/or certification to conduct audits of limited scope and complexity. Develops risk profiles of assigned processes within a functional area. Recommends process improvements for internal audit processes and procedures to improve internal controls. Guidance is provided to perform varied work that is difficult in nature and requires some evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness. Maintains regular contact with internal and external customers to identify research and resolve problems. Job Description Responsibilities: •Lead and support audit activities such as risk assessments, audit testing, control evaluation, work paper documentation, follow-up and issue closure verification. • Partner with colleagues, clients and control community members to evaluate the control environment. Make recommendations to strengthen internal controls. • Stay up-to-date with evolving regulatory changes and market events that impact the business. • Perform ongoing analysis of risk trends through business monitoring and audit coverage execution. • Partner with other groups within Audit to ensure complete coverage to deliver an integrated audit program. • Develop and maintain an in-depth understanding of business areas, financial products, and supporting functions. • Perform continuous monitoring of various business groups. • Perform data collection and analysis in compliance with audit program requirements to identify, analyze and recommend changes to core business processes. • Assist in performing design reviews over assigned audit areas to identify key controls. • Independently perform tests of operational effectiveness to validate controls. • Identify, review, assess and document risk management and control issues of assigned business processes. • Assist with the preparation of written recommendations regarding the effectiveness of assigned business processes. Prepare follow-up plans to ensure aforementioned recommendations are addressed. • Performs other duties and responsibilities as assigned. Qualifications: • Fundamental concepts, practices and procedures of auditing and risk assessment.
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