Sr. Manager, Internal Audit

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 the planning stages through the 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 leverages 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 entire team accountable for meeting deliverables, adhering to Quality Assurance criteria. Use consistent methodology.

• Finalize audit findings and provide an overall opinion on the control environment. Communicate audit findings to management and identify 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.

• Performs other duties and responsibilities as assigned.

Qualifications:

• Possess strong project management and interpersonal skills.

• Makes sound decisions, exhibits initiative and intuitive thinking, and is oftentimes consulted by others for advice and opinions. Recognized as a leadership role model.

• In-depth understating of audit practices and methodologies, including risk assessment internal control concepts.

• Specific subject matter expertise regarding control disciplines, and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

• Managing direct reports including managers and Senior Auditors.

• Demonstrated ability and success in interacting and influencing senior leadership, including executive management.

• Experience in managing against deadlines associated with an annual audit plan.

• Strong analytical skills particularly in regard to assessing the probability and impact of a control weakness.

• 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.

• Proven ability to multitask as well as assess and change priorities.

• Ability to work well individually and in teams to share information, support colleagues and encourage participation.

Educational/Previous Experience Requirements:

• Bachelor’s Degree in Business Administration, Finance, Accounting or a related field and a minimum of eight (8) years of experience in the financial services industry.

or

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

Licenses/Certifications:

• CIA, CPA, or CISA Auditing Certification(s) preferred.

• CRCM a plus