Job Summary :
Operating under professional guidance and demonstrating a high degree of independence, this role utilizes a technically sound understanding of capital, liquidity, and interest rate risk management practices to lead a team, develop, implement, execute, and administer the internal audits covering the Finance and Risk processes at the Firm.
This role collaborates across the Internal Audit department for comprehensive coverage across various subsidiaries, technology, and enterprise audit processes.
This role operates with the support of the SVP and VP of the Canada, Finance, Risk and SOX (CFRS) IA Team and requires a keen awareness of banking and regulatory trends impacting Finance and Risk, audit data analysis skills, and risk management perspectives.
Essential Duties and Responsibilities
- 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.
- Execute testing as an individual contributor while also managing audit teams.
- 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.
- 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.
- Stay up to date with evolving industry and regulatory changes impacting the business.
- Performs other duties and responsibilities as assigned.
Qualifications : Qualifications :
Qualifications :
Knowledge, Skills, and Abilities
Knowledge of
- Audit practices and methodologies, including risk assessment internal control concepts.
- Advanced finance concepts, particularly as it pertains to capital, liquidity, and interest rate risk management practices and procedures used in the banking industry.
- Regulatory expectations for Large Financial Institutions (LFI), including Enhanced Prudential Standards (EPS), and Comprehensive Capital Analysis and Review (CCAR).
- Data analysis and the ability to understand key model inputs, outputs, and theoretical underpinnings.
Skill in
- Project management, including executing audit planning, fieldwork, and reporting.
- Managing direct reports and audit teams while developing talent.
- Interacting with and influencing senior leadership, including executive management.
- Managing against deadlines associated with an annual audit plan.
- Written and verbal communication.
Ability to
Make sound decisions, exhibit initiative and intuitive thinking, and act as a consultant for others for advice and opinions.
Recognized as a leadership role model.
- 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.
- Multitask as well as assess and change priorities.
- Work well individually and in teams to share information, support colleagues, and encourage participation.
Educational / Previous Experience Requirements
Education / Previous Experience
- Bachelor's Degree in Business Administration, Economics, Finance, Accounting or a related field and a minimum of eight (8) years of experience in the financial services industry.
- Any equivalent combination of experience, education, and / or training approved by Human Resources.
Licenses / Certifications
CIA, CPA, CRMA, CFA, or FRM Certification(s) preferred.
Travel
Travel Required : Minimum travel (less than 10%) may be required for select subsidiary audit coverage
Raymond James 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.
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 outcome
- 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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