Job Description

Job Description Summary

This role is well suited for a collaborative, hands-on audit professional with bank regulatory compliance expertise, who can operate as both a first-line people leader and a trusted team player across the broader Internal Audit function. The Senior Audit Manager will be expected to contribute directly to complex bank regulatory compliance audits, lead and develop audit professionals, and partner effectively with peers, business leaders, control functions, and the RJ Bank Chief Auditor to deliver coordinated, high-quality audit coverage. This role operates under professional guidance and demonstrates a high degree of independence. This role utilizes a deep understanding of bank regulatory compliance subject matter and audit skills acquired through education, experience, specialized training, and/or certification to lead Raymond James Financial Internal Audit coverage of bank regulatory compliance for Raymond James Bank. The role requires a keen awareness of banking and regulatory trends, audit data analysis skills, and risk management perspectives.

Job Description

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 Managers and Senior Audit staff.
• Perform human resource management activities including: identifying performance problems, developing plans for remedial action, evaluating performance, and interviewing and selecting 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:

• Possess strong project management and interpersonal skills.
• Makes sound decisions, exhibits initiative and intuitive thinking, and is oftentimes consulted by others for advice and opinions. Recognized as a leadership role model.
• In-depth understating of audit practices and methodologies, including risk assessment internal control concepts.
• Specific subject matter expertise regarding control disciplines, and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• Managing direct reports including managers and Senior Auditors.
• Demonstrated ability and success in interacting and influencing senior leadership, including executive management.
• Experience in managing against deadlines associated with an annual audit plan.
• Strong analytical skills particularly in regard to assessing the probability and impact of a control weakness.
• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.
• Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability.
• Proven ability to multitask as well as assess and change priorities.
• Ability to 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.

~or~

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

Licenses/Certifications:

• CIA, CPA, or CISA Auditing Certification(s) preferred.
• CRCM a plus

Education

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

Work Experience

General Experience - 6 to 10 years

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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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