Job Description
Job Summary:
Under general direction, uses extensive knowledge and skills obtained through education and to conduct and develop comprehensive analytics audits for Raymond James Internal Audit's Testing of all Business Units and subsidiaries. Leads large or multiple projects with significant scope and impact. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectives in achieving specified results. Maintains extensive contact with executive management to lead others in identifying, researching, analyzing and resolving complex issues.
Responsibilities:
Creates technology solutions for Internal Audit end users to enhance Data Analytics in broad and narrow focused approaches.
Performs assurances functions for Internal Audit partners with emphasis on design and repeatability for Internal Audit capabilities with broad scope across RJF footprint.
Evaluates size and selects technology components for data analytics tests and customized tooling for Internal Audit project management
Monitoring data governance of Large Financial Institution datasets with intent to test Federal reporting requirements for completeness & accuracy as RJF approaches Category IV LFI status
Designs and implements highly custom large scale database solutions that augment Internal Audit Assurance processes
Performs extensive exploration and analysis of database entities, relationships and attributes
Participates in both analytic design and data processing sessions for assigned projects
Manages Project workload for multiple active audits
Optimizes ETL processes using Microsoft SQL Server best practices and query/index/table performance tuning.
Evaluates the content, accuracy and completeness of datasets, data models, and file specifications
Isolates and corrects data related issues/processes.
Gathers and uses working knowledge of WORM Compliant functionality and storage, Microsoft SQL Server Management Studio, Oracle PL/SQL, Alteryx, Microsoft Access, QlikSense.
Learning new technology tools to help aid automation and continuous monitoring of controls
Testing datasets from front end applications against backend databases to ensure data completeness and accuracy
Partner with colleagues and stakeholders to evaluate, test and report the effectiveness of management controls.
Build and maintain relationships with stakeholders. Add value by establishing a culture of engagement.
Create and execute an effective monitoring program for assigned areas to monitor key metrics that identify control issues and adverse trends.
Review work performed and provide honest and constructive feedback.
Serve as a technical resource for other auditors.
Maintain industry knowledge of evolving and regulatory changes that impact the business.
Performs other duties and responsibilities as assigned.
Knowledge of
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 regarding control disciplines.
Understanding of financial services products and services, especially those associated with assigned area.
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.
Skill in
Data modeling, data mining, and segmentation techniques.
Query languages Microsoft SQL Server T-SQL and Oracle PL/SQL.
Assisting with automation/scheduling and distribution of reporting with ETL concepts.
Use of Alteryx Designer to create data workflows for audit testing.
Microsoft Office suite including Excel, Access, and PowerPoint.
Business Intelligence visualization software QlikSense preferred or ability to learn.
Coordinating complex data priorities.
Investigating relevant data irregularities.
Making rule-based and analytical decisions.
Ability to
Planning, organizing and conducting 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.
Education/Previous Experience
Bachelor's Degree in Business Administration, Accounting, Finance or related field with a minimum of six (6) years of experience in the financial services industry.
OR ~
Any equivalent combination of education, experience and/or training approved by Human Resources.
Education
Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance
Work Experience
General Experience - 6 to 10 years
Certifications
Travel
Less than 25%
Workstyle
Hybrid
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.
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