Audit Analyst - Req. 1802081

Raymond James Saint Petersburg, FL

Job Summary:

Under minimal 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 improvements for internal audit processes and procedures in order 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 contact with internal and external customers to identify, research and resolve problems.

Essential Duties and Responsibilities:

* 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.

* Develop and maintain an in-depth understanding of business areas, financial products, and supporting functions.

* 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 in assigned business processes.

* Test internal controls over financial reporting. Conduct substantive analytical procedures.

* Performs other duties and responsibilities as assigned.



* Fundamental concepts, practices and procedures of auditing and risk assessment.

* Fundamental concepts of financial markets and products.

* Fundamental concepts of finance and accounting.

* Strong interpersonal skills for interfacing with all levels of internal audit and management.

* Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness.

* Enthusiastic, self-motivated, and effective under pressure.

* Proven ability to manage time and deliver against deadlines.

Educational/Previous Experience Requirements:

* Bachelor's Degree in Business Administration, Accounting, and Finance or related field.


* Any equivalent combination of education, training or experience approved by Human Resources.


* None Required.

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