Audit and Control Assurance Specialist

Job Title: Audit and Control Assurance Specialist

Department/Group: Business Division A / Raymond James (RJ)

Reports to: TRA Supervisor Raymond James

Classification: Part-time Hourly) Non-Exempt

Role and Responsibilities

The Audit and Control Assurance Specialist will be responsible for managing and facilitating all aspects of audit requests within the organization. They will act as the primary point of contact for both internal and external audit teams, ensuring a seamless and efficient audit process. The role will involve collaborating with various departments, gathering relevant documentation, and coordinating audit activities to support compliance, risk management, and organizational objectives.

This position requires excellent attention to detail, above average communication skills as well as excellent time management and analytical skills.

Key Responsibilities:

• Conducts Audit Coordination
• Translate technical concepts to business audience and business information to a technical audience.
• Serve as the central point of contact for all audit requests, liaising with internal stakeholders and external audit teams to facilitate smooth communication and information exchange.
• Schedule audit activities, including entrance meetings, fieldwork, and exit meetings, ensuring that relevant parties are available and adequately prepared.
• Researches, comprehends, and applies audit requirements and IT Controls to a variety of technology use cases.
• Gathers and interprets information from multiple sources.
• Works closely with different departments to gather and organize the required documentation and evidence for audit purposes.
• Maintain an organized repository of audit-related materials and ensure its accessibility to authorized personnel.
• Validates technology issues to ensure that control gaps are accurately identified and that IT understands the root cause, so it can address the root of a control deficiency.
• Use effective approaches for choosing a course of action or developing appropriate solutions.
• Collaborate with multiple teams to implement remediation in a timely manner.
• Ensure control objectives are being met by analyzing data.
• Establish control owner accountability by scheduling, tracking and following workflows to address any control weaknesses.
• Must report value added results

Key Accountabilities

• Communicate well with multiple parties. Responsible for liaising extensively with internal Raymond James teams, external vendors, third parties, regulators, and anyone else related to the testing work at hand.
• Manage their time effectively.
• Maintain thorough documentation of processes and procedures
• Maintain report of completed assignments and completion progress
• Meet weekly with UMRF Venturer management
• Ensure RJ/UMRF Ventures internal and external departmental communication procedures are followed
• Follow UMRF Ventures and Raymond James guidelines and policies.

Skills & Knowledge

• Excellent communication skills
• Effective time management
• Detailed oriented
• Required: Experience with ServiceNow, Excel 
• Preferred: Experience with ServiceNow, Experience with Microsoft 365 products (SharePoint)

Qualifications and Education Requirements

• Preference: UMRFV Raymond James departmental experience or knowledge and familiar with RJ systems
• Must have worked at UMRFV for 6 months in current venture (if internal applicant)
• Performance metrics and work ethics must be exemplary
• Preferred: STEM related curriculum / major