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Job Snapshot
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Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
9/15/2024
Job Description
Job Summary
Under limited supervision, uses knowledge and skills obtained through experience, specialized training and/or certification in the financial services industry to ensure the Sarbanes Oxley (SOX) Program for Raymond James Bank is robust and sufficient. Primary job responsibilities include reviewing the design of SOX and other internal controls, conducting risk assessments, and working with both internal and external auditors. The position is part of the RJ Bank Oversight & Control (O&C) Department which functions as the first-line of defense for RJ Bank. The position requires strong analytical, communication, presentation, and critical thinking skills with the ability to provide comprehensive solutions to complex problems or needs. The position also requires the ability to influence strategic direction and develop tactical plans with substantial latitude for independent actions or decisions.
Essential Duties and Responsibilities
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of
SOX Regulations
COSO Framework
FDICIA Regulation
Knowledge of various internal control documentation software (Workiva/Auditboard)
Concepts, practices, and procedures of banking compliance
Mortgage and Securities Based Lending regulatory requirements
Principles of banking and finance and securities industry operations
Financial markets and products
Management of internal and external regulatory exams and audits
Skill in
Managing SOX Programs
Reviewing, interpreting and analyzing new products and processes
Identifying and implementing controls and quality assurance processes.
Analyzing and proposing control points
Researching complex issue
Interpreting and applying policies and procedures
Promoting effective coordination between departments and other functional area
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets and complex databases
Ability to
Attend to detail while maintaining a big picture orientation
Gather information, identify linkages and trends and apply findings to assignments
Interpret and apply banking regulations and identify and recommend compliance changes as appropriate
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Work independently as well as collaboratively within a team environment to accomplish work
Keep abreast of banking industry rules and regulations and best practices in compliance
Resolve complex problems/issues, independently analyze information, and make recommendations based on analysis
Read, analyze, interpret and apply information from regulations, policies, financial reports, and legal documents in order to identify and recommend changes
Partner with other functional areas to accomplish objectives
Establish and maintain effective working relationships at all levels of the organization
Incite enthusiasm and influence, motivate and persuade other to achieve desired outcomes without organizational authority
Communicate effectively, both orally and in writing, with all organizational levels
Educational/Previous Experience Requirements
Education/Previous Experience
Bachelor%26rsquos Degree (B.A.) in Accounting or Finance and (6) years%26rsquo experience in specific area of expertise of assigned work area
Supervisory experience beneficial
OR ~
Any equivalent combination of experience, education, and/or training approved by Human Resources
Licenses/Certifications
Certified Public Accountant (CPA) designation, CIA, or CISA preferred.
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
