Internal Audit Manager, Compliance - RJB

Job Description

Job Summary:

Under general direction, utilizes a thorough understanding of bank regulatory compliance subject matter and audit skills acquired through education, experience, specialized training, and/or certification to conduct audits of bank regulatory compliance for Raymond James Bank. The Internal Audit Manager will oversee the work of others and perform audit testing to conduct audits with targeted scopes and complexities and assist the Senior Audit Manager in collaborating across multiple business units and Internal Audit department teams for comprehensive coverage across various bank subsidiaries, technology, and enterprise audit processes. Participates in large or multiple audit projects with significant breadth and impact. Works independently on difficult assignments that are broad in nature, and that require originality and ingenuity. Recommends process improvements for internal audit processes and procedures in order to improve internal controls.

Responsibilities:

• 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 in bank regulatory compliance regarding control disciplines.
• Understanding of financial services products and services, especially those associated with a banking institution.
• 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.

Knowledge, Skills, and Abilities

Knowledge of

• Audit practices and methodologies, including risk assessment internal control concepts.
• Control disciplines related to bank regulatory compliance requirements such as Regulation B, HMDA, Flood, and Fair Lending, among others.
• Financial services products and services, especially those associated with assigned area.

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

• Plan, organize and conduct 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.

Preferred candidate skills :

• Testing experience in a regulator (OCC, Fed, CFPB), Compliance, or audit role.
• Experience leading projects
• Certified Regulatory Compliance Manager (CRCM) or CIA, CPA

Education

Work Experience

Certifications

Travel

Workstyle

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.