Job Description Summary

Perform financial or management audits in accordance with audit guidelines to identify exceptions to operating procedures and standards, identify reasons for their occurrence and develops specific solutions or recommendations to achieve compliance.

Summary of the Position:

The Senior Auditor will be responsible for performing audits in accordance with the Bank’s internal audit program, and audit guidelines. This individual will provide support to the VP, Internal Audit and will ensure the coordination and completion of all activities related to the internal audit program.  The individual will report directly to the VP, Internal Audit.   

Primary Functions of the Position:

• Works with the VP, Internal Audit to determine internal audit scope, identify risks, develop and maintain annual plans in accordance with Bank policy and IIA Standards.
• Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and procedures.
• Lead and participate in audit engagements from the planning stages to the reporting stages.
• Lead annual internal audit risk assessment process.  Maintain documentation to support the internal audit risk assessment and periodic changes to the assessment.
• 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.

Education and Experience Requirements:

• Bachelor’s degree in accounting or related business disciplines required 
• 5 years of prior public accounting or internal audit experience required
• Certified Internal Auditor or Certified Public Accountant equivalent recommended

Essential Skills and Abilities:

• Fundamental knowledge of internal control concepts, auditing testing and risk assessment practices required
• Excellent written and verbal communication skills at all levels of the organization
• Knowledge of banking products, services, systems, policies, and procedures
• Advanced computer skills with Microsoft Office applications and Teammate+ application recommended
• Ability to work independently with limited required direction and guidance
• Ability to work in a confidential manner due to access to information of a sensitive nature
• Strong time management, problem-solving, resolution-driven and analytical skills
• Ability to exhibit sound independent judgement

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

General Experience - 6 to 10 years

Travel

Workstyle

Resident

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 
We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.