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Job Description

Job Summary:

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 enterprise Information Technology infrastructure or cybersecurity risks and understand the controls in place to mitigate them. Creates audit test plans following industry and department standards to perform design evaluations and operating effectiveness testing of complex IT infrastructure and cybersecurity systems. As a member of the Raymond James Internal Audit departments IT audit team, performs the primary roles of Lead Auditor and Project Manager over concurrent projects and teams with mixed internal and external resources. Performs supporting roles of control tester / workpaper preparer, as needed.

Provides guidance, training and tools that enable auditors to perform their roles. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for independent actions or decisions. Provides comprehensive solutions to escalated problems. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal audit management and audit teams to identify, research, analyze, and resolve complex issues.

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 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.

• Enterprise class IT infrastructure systems, technologies, and risks.

• 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.

• Using written and verbal communication skills in order to influence a wide range of internal audiences including functional teams, mid-level management, or executive management partners.

• 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

• Coach and mentor others.

• 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.

Education/Previous Experience

• Bachelor’s degree in Management Information Systems (MIS) or Computer Science and eight (8) years of experience in auditing information technology systems and assessing risks.

• OR

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Works at an advanced level to orient work in a workflow to plan, organize, and execute the steps it takes to achieve a goal to achieve higher efficiencies. Typically works independently and provides guidance.

Education

Bachelor’s: Business Administration

Work Experience

Manager Experience - 10 to 15 years

Certifications

Certified Internal Auditor (CIA) - The Institute of Internal Auditors

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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