Raymond James

Job Description

Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certifications to identify Information Technology risks across the RJF global enterprise and understand the controls in place to mitigate them. Leads teams comprised of a combination of internal associates augmented by external contractors to complete risk-based cyclical audits of the RJF global technology organization. Supervises and/or creates audit test plans following industry and department standards to perform design evaluations, operating effectiveness testing, or issue validation of complex IT infrastructure and cybersecurity systems. Renders an opinion on the design and operating effectiveness of tested areas following departmental reporting standards. Performs the primary role of Project Manager over concurrent projects and teams; however, performs any down-level duties needed to complete projects when staffing issues arise, which may include supporting roles of control tester / workpaper preparer if needed.

Co-leads the annual risk assessment, audit planning process, and all associated activities. Creates a network of extensive and robust relationships with business stakeholders across the global enterprise in support of continuous monitoring and “trusted advisor” style relationship building.

Plays a significant role in the strategic direction of the technology audit function and its direction to ensure comprehensive audit coverage of material risks and to foster efficiency within the team and department. Leads strategic projects for the IT audit team or department, develops tactical plans, and completes complex assignments with substantial latitude for independent actions or decisions.

Acting as an advisor, provides guidance, training and tools that enable business process auditors to increase their digital literacy and employ modern test approaches.

Assesses escalated problems and provides comprehensive solutions while maintaining effective communication with audit leadership on the status of escalated issues or other work under their responsibility.

Essential Duties and Responsibilities

• Leads Information Technology audits with minimal direction to evaluate control environments and draw accurate conclusions.
• Drives the development of annual information technology risk assessments and audit plans.
• Facilitates the technology quarterly risk assessment and continuous monitoring programs.
• Coach and mentor junior audit team members. Identify training needs and participate in the creation of development plans.
• Assist in the preparation and monitoring of audit budgets.
• Interpret, apply and recommend changes to departmental policies, standards and procedures.
• Establish objectives and develop processes and procedures to ensure audit efficiency and timely workflow.
• Develop and execute effective departmental training programs as required.
• Create various executive and board-level reports as required.
• Balance conflicting resource and priority demands.
• Maintain currency in technology as well as audit processes and procedures.
• Ensure assistance for external auditors and regulators, as required.
• Performs other duties and responsibilities as assigned.

Knowledge of

• Advanced concepts, practices and procedures of financial, regulatory and IT auditing.
• IIA’s Professional Practices Framework.
• Performance measurement, metrics, balance scorecard reporting.
• Change management and change enablers.
• Cybersecurity threats and risk mitigation processes.
• IT governance and administration.

Skill in

• Assessing risk and controls related to IT infrastructure, cybersecurity, and applications.
• Leading others to review all aspects of information systems and related controls.
• Performing risk assessments of cross-functional systems.
• Identifying causes or contributing factors to complex system problems.
• Analyzing and testing solutions to system problems.
• Interpreting regulatory guidance.
• Assessing team processes for efficiency improvements.
• Preparing executive and board reports.
• Promoting effective coordination between multiple work groups and functional areas.
• Overseeing the planning, organizing, and conducting of projects.
• Operating standard office equipment and required software applications.

Ability to

• Lead, coach and mentor multiple teams of internal associates or external contractors.
• Identify training needs and develop junior team members.
• Balance conflicting resource and priority demands.
• Facilitate meetings ensuring that all viewpoints, ideas and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Communicate effectively, both orally and in writing.
• Read, interpret and apply information from information technology periodicals and professional journals.
• Establish and maintain effective working relationships at all levels of the organization.

Licenses/Certifications

• CISA Auditing Certification(s) required.
• CISSP, CISM, CCSP, CRISC, CGRC preferred.

Travel Required:

• 5%

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - More than 15 years

Certifications

Certified Financial Services Auditor (CFSA) - The Institute of Internal Auditors, Certified Internal Auditor (CIA) - The Institute of Internal Auditors, Certified Public Accountant (CPA) - Boards of Accountancy (NASBA)

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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