Description

　　Job Summary:

　　Under general direction, uses extensive knowledge and skills obtained through education and experience to conduct comprehensive audits and develop risk profiles of assigned processes within a functional area (e.g. Private Client Group). Leads the work of others to conduct audits with smaller scope and complexity. Participates in large or multiple audit projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Recommends process improvements for internal audit processes and procedures in order to improve internal controls. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and management to identify, research, analyze and resolve complex issues.

　　Essential Duties and Responsibilities

　　Drive ongoing audit coverage of assigned functional audit area by developing audit programs.

　　Propose audit objectives, scope, procedures, and internal control reviews to ensure compliance with policies and procedures.

　　Execute audit engagements from the planning stages to the reporting stages.

　　Produce quality deliverables in accordance with both department methodology 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.

　　Perform validations of controls that have been established or enhanced by management and report on its efficacy.

　　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.

　　Qualifications

　　Knowledge, Skills, and Abilities

　　Knowledge of

　　Fundamental concepts, practices and procedures of auditing and risk assessment.

　　Fundamental concepts of financial markets, broker-dealer and/or investment advisory businesses and related products.

　　Fundamental concepts of finance and accounting.

　　Operational risks and related controls of regulations.

　　Skill in

　　Sharing information, supporting colleagues and encouraging participation.

　　Assessing the probability and impact of an internal control weakness.

　　Planning, organizing and conducting audits.

　　Identifying key business processes and document through process flows.

　　Identifying and documenting risk management issues.

　　Testing key controls within business processes.

　　Preparing written reports and delivering oral presentations.

　　Ability to

　　Build strong relationships with stakeholders, learn quickly, be flexible and think strategically.

　　Multi task, maintain required utilization targets, complete projects on time and within a budget, and adapt to changing priorities.

　　Demonstrate enthusiasm, self-motivation, and effectiveness under pressure.

　　Educational/Previous Experience Requirements

　　Education/Previous Experience

　　Bachelor’s Degree in Business Administration, Finance, or Accounting and a minimum of three (3) years of experience in the financial services industry

　　OR

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

　　Licenses/Certifications

　　None required.

　　Support candidates seeking the SIE and Series 7 licenses.

　　Job: Auditing

　　Primary Location: US-FL-St. Petersburg-Saint Petersburg

　　Organization RJF Corporate

　　Schedule Full-time

　　Job Shift Day Job

　　Travel Yes, 5 % of the Time

　　Req ID: 2400066