Senior Internal Audit Consultant

2 weeks ago

St Petersburg, United States Raymond James Financial Incorporated Full time

Position Overview:

Under general supervision, utilizes extensive expertise and skills acquired through education and experience to perform thorough audits and create risk profiles for designated processes within a specific functional area.

Oversees the efforts of others to carry out audits with limited scope and complexity. Engages in larger or multiple audit initiatives with considerable scope and impact.

Operates independently on challenging assignments that are broad in nature and necessitate creativity and innovation with significant latitude for unreviewed actions or decisions.

Suggests enhancements for internal audit methodologies and procedures to strengthen internal controls. Outcomes are assessed at predetermined milestones for effectiveness in achieving defined objectives. Maintains extensive interactions with internal clients and management to identify, investigate, analyze, and resolve intricate issues.

Key Responsibilities:

  • Drive continuous audit coverage of the assigned functional audit area by developing comprehensive audit programs.
  • Propose audit goals, scope, procedures, and internal control assessments to ensure adherence to policies and procedures.
  • Engage in audit assignments from the planning phase through to the reporting phase.
  • Deliver high-quality outputs in line with both departmental and professional standards.
  • Collaborate with colleagues and stakeholders to assess, test, and report on the adequacy and effectiveness of management controls.
  • Conclude audit findings and provide a comprehensive report on the control environment.
  • Communicate audit results to management and identify opportunities for enhancing the design and effectiveness of key controls.
  • Establish and maintain key relationships with stakeholders to foster a culture of engagement while adding value.
  • Implement and execute an effective program of ongoing monitoring for assigned audit areas.
  • Track key metrics to identify control issues and negative trends.
  • Stay informed about evolving industry and regulatory changes that affect the business.
  • Perform other duties and responsibilities as assigned.

Qualifications:

  • Fundamental understanding of auditing principles and risk assessment methodologies.
  • Basic knowledge of financial markets and products.
  • Fundamental concepts of finance and accounting.
  • Awareness of operational risks and associated regulatory controls.
  • Ability to work effectively both independently and as part of a team by sharing information, supporting colleagues, and encouraging participation.
  • Exceptional verbal and written communication skills with the capacity to present complex and sensitive issues to Senior Management.
  • Strong analytical capabilities, particularly in evaluating the likelihood and impact of internal control deficiencies.
  • Demonstrated ability to cultivate strong relationships with stakeholders, learn rapidly, be adaptable, and think strategically.
  • Proven capacity to manage multiple tasks, complete projects on schedule and within budget, and adjust to shifting priorities.
  • Self-motivated, enthusiastic, and effective under pressure.
  • Planning, organizing, and executing audits.
  • Identifying key business processes.
  • Recognizing and documenting risk management concerns.
  • Testing essential controls within business processes.
  • Preparing written reports and delivering oral presentations.

Educational and Experience Requirements:

  • Bachelor's Degree in Business Administration, Finance, or Accounting with a minimum of three (3) years of experience in the financial services sector ~or~
  • Any equivalent combination of education, experience, and/or training approved by Human Resources.

Licenses/Certifications:

  • No specific licenses required.

At Raymond James, our associates embody five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to uphold the firm's core values of client-first, integrity, independence, and a conservative, long-term perspective.


We expect our associates at all levels to:

  • Advance professionally and inspire others to do the same.
  • Collaborate with others to achieve desired outcomes.
  • Make timely, pragmatic decisions with the client in mind.
  • Take ownership and hold themselves and others accountable for delivering meaningful results.
  • Contribute to the ongoing evolution of the firm.

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