Internal Audit Manager

About this role

Job Description Summary Under general direction, uses extensive knowledge and skills to develop and lead comprehensive internal audits covering the wealth management business activity, with focus on packaged products. Audit engagements may vary in size and complexity with significant scope and impact focused on the firm’s broker-dealer and investment advisory activities. Assesses risk within assigned internal audits, as well as participates in the continuous assessment of risk for the assigned business segment. Influences strategic direction, develops tactical plans and completes complex assignments with latitude for independent actions or decisions. Obtained through education and to conduct comprehensive annual compliance / Financial Statement audits for Raymond James Internal Audit’s Testing on Management’s Behalf Team. Manages the work of other auditors to conduct operational audits and develop risk profiles in a variety of functional areas. Leads large or multiple projects with significant scope and impact. Provides comprehensive solutions to escalated complex problems. End results are evaluated at agreed upon milestones for effectives in achieving specified results for achieving goals and objectives. 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. •    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. •    Strong interpersonal skills to interface with all levels of internal and external audit associates and management. •    Proven ability to build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically. •    Proven ability to multitask as well as assess changing priorities. •    Ability to analyze risk and proactively identify discrepancies. •    Ability to work well individually and in teams to share information and support one another. •    Testing key controls within business processes. •    Preparing written reports and delivering oral presentations. •    Rules and regulations of the Securities Exchange Commission (SEC), primarily the Investment Advisers Act of 1940 •    FINRA securities rules

Skill in: •    Managing projects against deadlines, including annual audit plans.  •    Planning, organizing and conducting audits.  •    Testing key controls within business processes.  •    Preparing written reports and delivering oral presentations.

Ability to: •    Planning, organizing and conducting audits.  •    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.  •    Interface with all levels of internal and external audit associates and management.  •    Build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.  •    Multitask as well as assess changing priorities.  •    Analyze risk and proactively identify discrepancies.  •    Work well individually and in teams to share information and support one another. 

Educational/Previous Experience Requirements •    Bachelor’s Degree in Business Administration, Accounting, Finance or related field with a minimum of six (6) years of experience in the financial services industry.  •    OR ~  •    Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications •    CIA, CFSA, CPA certifications, and/or CISA Auditing Certification(s)Series 7 license preferred

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

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