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Financial Crimes Advisor, Internal Audit

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Raymond James

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Location:
United States , Saint Petersburg, Florida

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Under general supervision, uses knowledge and skills obtained through education, experience, training and/or certification to conduct audits of limited scope and complexity. Develops risk profiles of assigned processes within a functional area. Recommends process improvements for internal audit processes and procedures to improve internal controls. Guidance is provided to perform varied work that is difficult in nature and requires some evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness. Maintains regular contact with internal and external customers to identify, research and resolve problems.

Job Responsibility:

  • Lead and support audit activities such as risk assessments, audit testing, control evaluation, work paper documentation, follow-up and issue closure verification
  • Partner with colleagues, clients and control community members to evaluate the control environment. Make recommendations to strengthen internal controls
  • Stay up to date with evolving regulatory changes and market events that impact the business
  • Perform ongoing analysis of risk trends through business monitoring and audit coverage execution
  • Partner with other groups within Audit to ensure complete coverage to deliver an integrated audit program
  • Develop and maintain an in-depth understanding of business areas, financial products, and supporting functions
  • Perform continuous monitoring of various business groups
  • Perform data collection and analysis in compliance with audit program requirements to identify, analyze and recommend changes to core business processes
  • Assist in performing design reviews over assigned audit areas to identify key controls
  • Independently perform tests of operational effectiveness to validate controls
  • Identify, review, assess and document risk management and control issues of assigned business processes
  • Assist with the preparation of written recommendations regarding the effectiveness of assigned business processes. Prepare follow-up plans to ensure aforementioned recommendations are addressed
  • Performs other duties and responsibilities as assigned

Requirements:

  • Bachelor’s Degree in Business Administration, Finance, or Accounting and a minimum of two (2) years of experience in the financial services industry
  • OR any equivalent combination of education, training or experience approved by Human Resources
  • CAMS, CFE, CGSS, or equivalent experience is required, or a commitment to obtain a relevant certification aligned to a timeline agreed upon with management
  • Knowledge of fundamental concepts, practices and procedures of auditing and risk assessment
  • Knowledge of fundamental concepts of financial markets and products
  • Knowledge of fundamental concepts of finance and accounting
  • Knowledge of operational risks and related controls of regulations
  • Skill in working well individually and in a team
  • Skill in assessing the probability and impact of an internal control weakness
  • Skill in planning, organizing and conducting audits
  • Skill in identifying key business processes
  • Skill in identifying and documenting risk management issues
  • Skill in testing key controls within business processes
  • Ability to share information, supports colleagues and encourage participation
  • Ability to present complex and sensitive issues to Senior Management
  • Ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically
  • Ability to multi task, complete projects on time and within a budget, and adapt to changing priorities
  • Ability to demonstrate enthusiasm, self-motivation, and effectiveness under pressure
  • Ability to prepare written reports and deliver oral presentations

Additional Information:

Job Posted:
March 10, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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