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Description

Job Summary

Under general direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certifications to conduct audits using advanced data analytics and industry experience to independently assess the firms preparedness for data acquisition, validation, governance, and reporting to meet the Federal Reserve Board (FRB) comprehensive capital analysis , planning and stress test reporting requirements for Category IV large financial institutions (CAT IV LFI). The role will directly support audit projects and related assessments for the Raymond James Financial Internal Audit Department.

Duties may include, but not limited to control assurance testing procedures, assessing appropriateness of the identification of critical data elements that support regulatory reporting requirements, assessing data quality, lineage, catalogue, and related governance aspects of the LFI requirements.

Acts as a liaison between the LFI preparation committee and Internal Audit senior leadership team.

Supports professional and corporate auditing standards as well as departmental standards and procedures. Provides guidance, training and tools that enable auditors to perform jobs effectively. Provides administrative and technical support to foster continuous improvement within the department. Leads large or multiple projects with significant scope and impact that involves cross-functional teams. Influences strategic direction, develops tactical solutions and completes complex assignments with substantial latitude for independent development actions or decisions. Provides comprehensive solutions to escalated problems. Maintains extensive contact with Internal Audit management and audit teams to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Creates technology solutions for Internal Audit end users to enhance Data Analytics in broad and narrow focused approaches.

• Maintains working knowledge of firm regulatory obligations for Federal Reserve Reporting of Daily Capital and Liquidity metrics.

• Performs assurances functions for Internal Audit partners with emphasis on new capabilities and repeatability for Internal Audit.

• Assesses audit testing or evaluation requirements and selects appropriate tooling or techniques.

• Performs feasibility analysis of database entities, relationships and attributes.

• Participates in both analytic design, data processing, and analysis sessions for assigned projects.

• Evaluates the content, accuracy and completeness of datasets, data models, and file specifications.

• Learns new technology tools to help aid automation and continuous monitoring of controls.

• Tests datasets from front end applications against backend databases to ensure data completeness and accuracy.

• Review work performed and provide honest and constructive feedback.

• Serve as a technical resource for other auditors.

• Maintain industry knowledge of evolving and regulatory changes that impact the business.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

• Statistics and probability, data analytics techniques, business intelligence, and data visualization.

• Data handling, quality assessment, and manipulation.

• The ability to understand key model inputs, outputs, and theoretical underpinnings.

• Coordinating complex data priorities.

• Investigating relevant data irregularities.

Desired financial services industry knowledge but not required:

• Regulatory expectations for Large Financial Institutions (LFI), including Enhanced Prudential Standards (EPS), and Comprehensive Capital Analysis and Review (CCAR).

Desired skill in

• Data obtainment and ETL (Extract, Transform, Load) functions

• Query writing languages Microsoft SQL Server T-SQL and Oracle PL/SQL

• Experience with QlikSense and Alteryx preferable

• Project management, including executing analytics planning, development, testing, and deployment.

• Data modeling, database design development, data mining and segmentation techniques.

• Assisting with automation/scheduling and distribution of reporting with ETL concepts.

• Experience in managing projects against deadlines and documenting project steps, phases, and outcomes.

• Understanding of audit practices and methodologies, including risk assessment internal control concepts.

• Microsoft Office suite including Excel, Access, and PowerPoint and experience with Smartsheets is a plus.

• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.

Ability to

• Interface with all levels of internal and external audit associates and management.

• Build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.

• Multitask as well as assess changing priorities.

• Analyze risk and proactively identify discrepancies.

• Work well individually and in teams to share information and support one another.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree in Business Analytics, Statistics, Data Science or related field with a minimum of two (4) years of experience in a business analytics or data science role.

• OR

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

Licenses/Certifications

• None required, however relevant industry certifications are a plus.

Travel

Travel Required: Yes, 5 % of the Time

Job: Auditing

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2403678