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Internal Audit Manager, Compliance - RJB- Hybrid or Remote

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<p><u><b>Job Description Summary</b></u></p>Under general direction, utilizes a thorough understanding of bank regulatory compliance subject matter and audit skills acquired through education, experience, specialized training, and/or certification to conduct audits of bank regulatory compliance for Raymond James Bank. The Internal Audit Manager will oversee the work of others and perform audit testing to conduct audits with targeted scopes and complexities and assist the Senior Audit Manager in collaborating across multiple business units and Internal Audit department teams for comprehensive coverage across various bank subsidiaries, technology, and enterprise audit processes. Participates in large or multiple audit projects with significant breadth and impact. Works independently on difficult assignments that are broad in nature, and that require originality and ingenuity. Recommends process improvements for internal audit processes and procedures in order to improve internal controls.<p></p><p></p><p style="text-align:left"><u><b>Job Description</b></u></p><p><b>Job Summary:</b></p><p></p><p>Under general direction, utilizes a thorough understanding of bank regulatory compliance subject matter and audit skills acquired through education, experience, specialized training, and/or certification to conduct audits of bank regulatory compliance for Raymond James Bank. The Internal Audit Manager will oversee the work of others and perform audit testing to conduct audits with targeted scopes and complexities and assist the Senior Audit Manager in collaborating across multiple business units and Internal Audit department teams for comprehensive coverage across various bank subsidiaries, technology, and enterprise audit processes. Participates in large or multiple audit projects with significant breadth and impact. Works independently on difficult assignments that are broad in nature, and that require originality and ingenuity. Recommends process improvements for internal audit processes and procedures in order to improve internal controls.</p><p></p><p><b>Responsibilities:</b></p><ul><li>Understanding of audit practices and methodologies, including risk assessment internal control concepts.</li><li>Experience in managing projects against deadlines, as well as experience with annual audit plans.</li><li>Specific subject matter expertise in bank regulatory compliance regarding control disciplines.</li><li>Understanding of financial services products and services, especially those associated with a banking institution.</li><li>Planning, organizing and conducting audits.</li><li>Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.</li><li>Enthusiastic, self-motivated, effective under pressure, and willing to take personal risk and accountability.</li><li>Strong interpersonal skills to interface with all levels of internal and external audit associates and management.</li><li>Proven ability to build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.</li><li>Proven ability to multitask as well as assess changing priorities.</li><li>Ability to analyze risk and proactively identify discrepancies.</li><li>Ability to work well individually and in teams to share information and support one another.</li><li>Testing key controls within business processes.</li><li>Preparing written reports and delivering oral presentations.</li></ul><p></p><p><b>Knowledge, Skills, and Abilities</b></p><p><b>Knowledge of</b></p><ul><li>Audit practices and methodologies, including risk assessment internal control concepts.</li><li>Control disciplines related to bank regulatory compliance requirements such as Regulation B, HMDA, Flood, and Fair Lending, among others.</li><li>Financial services products and services, especially those associated with assigned area.</li></ul><p><b>Skill in</b></p><ul><li>Managing projects against deadlines, including annual audit plans.</li><li>Planning, organizing and conducting audits.</li><li>Testing key controls within business processes.</li><li>Preparing written reports and delivering oral presentations.</li></ul><p></p><p><b>Ability to</b></p><ul><li>Plan, organize and conduct audits.</li><li>Present complex and sensitive issues to management in a persuasive manner.</li><li>Demonstrate enthusiasm, self-motivation, and effectiveness under pressure, and willingness to take personal risk and accountability.</li><li>Interface with all levels of internal and external audit associates and management.</li><li>Build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.</li><li>Multitask as well as assess changing priorities.</li><li>Analyze risk and proactively identify discrepancies.</li><li>Work well individually and in teams to share information and support one another.</li></ul><p><b>Preferred candidate skills</b>:</p><ul><li>Testing experience in a regulator (OCC, Fed, CFPB), Compliance, or audit role.</li><li>Experience leading projects</li><li>Certified Regulatory Compliance Manager (CRCM) or CIA, CPA</li></ul><p><b>Education/Previous Experience</b></p><ul><li>Bachelor’s Degree in Business Administration, Accounting, Finance or related field with a minimum of six (6) years of experience in the financial services industry.</li></ul><ul><li>OR ~</li></ul><ul><li>Any equivalent combination of experience, education, and/or training as approved by Human Resources.</li></ul><p></p><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p style="text-align:left"><u><b>Education</b></u></p>Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p style="text-align:left"><u><b>Work Experience</b></u></p>General Experience - 6 to 10 years<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p style="text-align:left"><u><b>Certifications</b></u></p><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p style="text-align:left"><u><b>Travel</b></u></p>Less than 25%<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p style="text-align:left"><u><b>Workstyle</b></u></p>Hybrid<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p style="text-align:left">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. <br><br>We expect our associates at all levels to:<br>•  Grow professionally and inspire others to do the same<br>•  Work with and through others to achieve desired outcomes<br>•  Make prompt, pragmatic choices and act with the client in mind<br>•  Take ownership and hold themselves and others accountable for delivering results that matter<br>•  Contribute to the continuous evolution of the firm</p><p style="text-align:inherit"></p><p style="text-align:left">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. </p>#LI-JB1

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

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When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

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With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

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The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

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This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...

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