Senior Manager Internal Audit Lead

1 month ago

St Petersburg FL USA, United States Raymond James Financial Incorporated Full time
Job Summary:

As a Senior Manager Internal Audit, you will lead a team that supports Raymond James Financial Internal Audit, utilizing extensive knowledge and skills to manage and guide auditors in performing jobs effectively. You will provide administrative and technical support to foster continuous improvement within the department, leading major projects, programs, or processes with significant business impact that involve cross-functional teams. Your influence will shape strategic direction, develop tactical plans, and complete complex assignments with substantial latitude for independent actions or decisions.

Key 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 planning stages through 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 leverage 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 the entire team accountable for meeting deliverables, adhering to Quality Assurance criteria, and using consistent methodology.
  • Finalize audit findings and provide an overall opinion on the control environment, communicating audit findings to management and identifying 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.
Qualifications:
  • Audit practices and methodologies, including risk assessment, internal control concepts.
  • Control disciplines (expert level), and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility.
  • Advanced investment concepts, practices, and procedures used in the securities industry.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and products.
  • Banking.
Guiding Behaviors:

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.

  • 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.

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