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Job Description

Job Summary:

As an individual contributor under general supervision, uses knowledge and skills, obtained through education and/or experience, training and/or certification, to assist in conducting audits of assigned processes within a functional area. Recommends process improvements for internal audit processes and management’s controls. Resolves or recommends solutions to problems.

Responsibilities:

• Supports audit activities including audit control design evaluation and operating testing effectiveness.

• Performs validation of issue remediations.

• Partners with colleagues, internal audit management, and stakeholders to evaluate the control environment and assist with audit planning.

• Develops and maintains an in-depth understanding of assigned business areas, its products, and supporting functions.

• Stays up to date with evolving industry and regulatory changes impacting the business.

• Produces quality deliverables in accordance with both department and professional standards, including project management requirements.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Audit practices and methodologies, including risk assessment internal control concepts.

• A combination of elements of finance, accounting, treasury, broker dealer operations, and risk knowledge.

Skill in

• Project management, including assisting with audit planning, fieldwork, and reporting.

• Meet deadlines within budgeted hours.

• Demonstrates initiative and problem-solving skills.

• Establish and maintain effective working relationships at all levels of the organization.

• Written and verbal communication, including high quality workpapers.

Ability to

• Demonstrate enthusiasm, self-motivation, and effectiveness under pressure and willingness to take personal accountability.

• Work well individually and in teams to share information, support colleagues, and encourage participation.

Education/Previous Experience

• Bachelor’s Degree in Business Administration, Economics, Finance, Accounting or a related field and a minimum of one year 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, CRMA, CFA, or FRM Certification(s) preferred.

Education

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

Work Experience

General Experience - 13 months to 3 years

Certifications

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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