Job Description Summary

Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification to conduct comprehensive domestic and international Financial Crimes audits (Anti-Money Laundering / Counter-Terrorism (AML/CTF), Office of Foreign Assets Control (OFAC) Sanctions, and Fraud and Identity Theft topics). Manage audit production across various Raymond James subsidiaries. Supports professional and corporate auditing standards as well as departmental standards and procedures. Provides guidance, training, and tools that enable auditors to perform jobs effectively. Provides administrative and technical support to foster continuous improvement within the department. Leads major projects, programs, or processes with significant business impact that involve cross-functional teams. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for independent actions or decisions. Provides comprehensive solutions to escalated problems. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal audit management and audit teams to identify, research, analyze, and resolve complex issues.

Job Description

Job Summary:

Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification to conduct comprehensive domestic and international Financial Crimes audits (Anti-Money Laundering / Counter-Terrorism (AML/CTF), Office of Foreign Assets Control (OFAC) Sanctions, and Fraud and Identity Theft topics).  Manage audit production across various Raymond James subsidiaries. Supports professional and corporate auditing standards as well as departmental standards and procedures. Provides guidance, training, and tools that enable auditors to perform jobs effectively. Provides administrative and technical support to foster continuous improvement within the department. Leads major projects, programs, or processes with significant business impact that involve cross-functional teams. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for independent actions or decisions. Provides comprehensive solutions to escalated problems. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal audit management and audit teams to identify, research, analyze, and resolve complex issues.

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 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: 

Knowledge of

• Audit practices and methodologies, including risk assessment internal control concepts.
• Control disciplines (expert level), and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility.
• Laws and regulations pertaining to anti-money laundering, counter-terrorism, sanctions, fraud, and identity theft.
• Advanced investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.

Skill in

• Project management.
• Managing people in a project leader role, including managers and Senior Auditors.
• Interacting with and influencing senior leadership, including executive management.
• Managing against deadlines associated with an annual audit plan.
• Assessing the probability and impact of a control weakness.

Ability to

• Make sound decisions, exhibit initiative and intuitive thinking, and act as a consultant for others for advice and opinions. Recognized as a leadership role model.
• Present complex and sensitive issues to management in a persuasive manner.
• Demonstrate enthusiasm, self-motivation, and effectiveness under pressure and willingness to take personal risk and accountability.
• Multitask as well as assess and change priorities.
• 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.
• 4+ years of AML / FCM experience in wealth management, broker-dealer, and/or correspondent bank or equivalent experience
• Proven experience with AML QA, Testing, Internal Audit and/or Regulatory reviews.

~or~

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

Licenses/Certifications: 

• CAMS, CFE, CGSS, CIA, or equivalent experience required, or a commitment to obtain a relevant certification aligned to a timeline agreed upon with management.  

Education

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

Work Experience

General Experience - 6 to 10 years, Manager Experience - 3 to 6 years

Certifications

Certified Internal Auditor (CIA) - The Institute of Internal Auditors, Certified Public Accountant (CPA) - Boards of Accountancy (NASBA)

Travel

Less than 25%

Workstyle

Hybrid

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. 

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