Senior Auditor

Raymond James Financial, Inc.; Pittsburgh (Allegheny County); On-site; USD 70,000 - 90,000; Full time

Job summary

A leading financial services company seeks a Senior Auditor to conduct and lead internal audits, ensuring compliance with regulatory standards and improving internal controls. The role requires a strong background in auditing, excellent communication skills, and a proactive approach to risk assessment.

Qualifications

• Bachelor’s degree required.
• 5 years of prior public accounting or internal audit experience required.
• Knowledge of COSO and risk assessment practices required.

Responsibilities

• Lead planning and execution of a risk-based audit plan.
• Prepare and present audit reports.
• Develop internal audit plans and maintain compliance.

Skills

Knowledge of internal control concepts

Excellent written and verbal communication skills

Knowledge of banking products

Strong time management skills

Analytical skills

Education

Bachelor’s degree in accounting or related business disciplines

Certified Internal Auditor or equivalent recommended

Tools

Microsoft Office applications

Teammate+ application

Job description

time type Full time

posted on Posted Yesterday

job requisition id R-0005041

Job Description

The Senior Auditor will be responsible for performing audits in accordance with the Bank’s internal audit program, and audit guidelines. This individual will provide support to the VP, Internal Audit and will ensure the coordination and completion of all activities related to the internal audit program. The individual will report directly to the VP, Internal Audit.

Primary Functions of the Position:

• Works with the VP, Internal Audit to determine internal audit scope, identify risks, develop and maintain annual plans in accordance with Bank policy.
• Lead the planning, fieldwork, reporting phases and the execution of a risk-based audit plan. Ensure internal audit workpapers follow regulatory and industry audit standards. Or identify, within the team, patterns of noncompliance, taking appropriate action to report and resolve.
• Prepare, present, and maintain reports that reflect audit’s results and documentation process.
• Ensure that all audit project activities are compliant with the risk-based audit plan.
• Develop continuous monitoring activities in accordance with the internal audit risk assessment and annual audit plan.
• Lead annual internal audit risk assessment process. Maintain documentation to support the internal audit risk assessment and periodic changes to the assessment.
• Coordinate and attend all audit meetings with internal stakeholders to ensure the prompt completion of all audit activities.
• Support VP, Internal Audit to analyze and ensure that all audit issues are resolved in a timely basis. Maintain supporting documentation for all issues identified within the audit.
• Conduct research using primary data sources, and select information needed for the analysis of key themes and trends. Make recommendations on how to improve internal controls and governance processes.
• Maintain an in-depth understanding of technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.

Education and Experience Requirements:

• Bachelor’s degree in accounting or related business disciplines required
• 5 years of prior public accounting or internal audit experience required
• Certified Internal Auditor or equivalent recommended
  

Essential Skills and Abilities:

• Knowledge of internal control concepts, internal auditing standards, COSO and risk assessment practices required.
• Excellent written and verbal communication skills at all levels of the organization
• Knowledge of banking products, services, systems, policies, and procedures
• Advanced computer skills with Microsoft Office applications and Teammate+ application recommended
• Ability to work independently with limited required direction and guidance
• Ability to work in a confidential manner due to access to information of a sensitive nature
• Strong time management, problem-solving, resolution-driven and analytical skills
• Ability to exhibit sound independent judgement

Education

Job Description

The Senior Auditor will be responsible for performing audits in accordance with the Bank’s internal audit program, and audit guidelines. This individual will provide support to the VP, Internal Audit and will ensure the coordination and completion of all activities related to the internal audit program. The individual will report directly to the VP, Internal Audit.

Primary Functions of the Position:

• Works with the VP, Internal Audit to determine internal audit scope, identify risks, develop and maintain annual plans in accordance with Bank policy.
• Lead the planning, fieldwork, reporting phases and the execution of a risk-based audit plan. Ensure internal audit workpapers follow regulatory and industry audit standards. Or identify, within the team, patterns of noncompliance, taking appropriate action to report and resolve.
• Prepare, present, and maintain reports that reflect audit’s results and documentation process.
• Ensure that all audit project activities are compliant with the risk-based audit plan.
• Develop continuous monitoring activities in accordance with the internal audit risk assessment and annual audit plan.
• Lead annual internal audit risk assessment process. Maintain documentation to support the internal audit risk assessment and periodic changes to the assessment.
• Coordinate and attend all audit meetings with internal stakeholders to ensure the prompt completion of all audit activities.
• Support VP, Internal Audit to analyze and ensure that all audit issues are resolved in a timely basis. Maintain supporting documentation for all issues identified within the audit.
• Conduct research using primary data sources, and select information needed for the analysis of key themes and trends. Make recommendations on how to improve internal controls and governance processes.
• Maintain an in-depth understanding of technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.

Education and Experience Requirements:

• Bachelor’s degree in accounting or related business disciplines required
• 5 years of prior public accounting or internal audit experience required
• Certified Internal Auditor or equivalent recommended
  

Essential Skills and Abilities:

• Knowledge of internal control concepts, internal auditing standards, COSO and risk assessment practices required.
• Excellent written and verbal communication skills at all levels of the organization
• Knowledge of banking products, services, systems, policies, and procedures
• Advanced computer skills with Microsoft Office applications and Teammate+ application recommended
• Ability to work independently with limited required direction and guidance
• Ability to work in a confidential manner due to access to information of a sensitive nature
• Strong time management, problem-solving, resolution-driven and analytical skills
• Ability to exhibit sound independent judgement

Education

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

Work Experience

General Experience - 6 to 10 years

Certifications

Travel

Workstyle

Resident

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.

About TriState Capital and Raymond James

An independently chartered bank subsidiary of Raymond James, TriState Capital offers commercial and industrial banking, commercial real estate expertise, treasury and liquidity management, and private bank lending, with a focus on serving established middle-market businesses.

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities, with locations and subsidiaries across the United States, Canada, the United Kingdom and Germany. The company is listed on the New York Stock Exchange under the symbol RJF.