Job Description Summary Under general direction, uses extensive knowledge and skills obtained through education and experience to conduct comprehensive audits and develop risk profiles of assigned processes within a functional area. Leads the work of others to conduct audits with smaller scope and complexity. Participates in large or multiple audit projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Recommends process improvements for internal audit processes and procedures in order to improve internal controls. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and management to identify ,research, analyze and resolve complex issues. Job Description Responsibilities: • Drive ongoing audit coverage of assigned functional audit area by developing audit programs. • Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and procedures. • Participate in audit engagements from the planning stages to the reporting stages. • Produce quality deliverables in accordance with both department and professional standards. • Partner with colleagues and stakeholders to evaluate, test and report on the adequacy and effectiveness of management controls. • Finalize audit findings and provide an overall report on the control environment. • Communicate audit findings to management and identify opportunities for improvement of the design and effectiveness of key controls. • Build and maintain key relationships with stakeholders to establish a culture of engagement while adding value. • Implement and execute an effective program of continuous monitoring for assigned audit areas. • Monitor key metrics to identify control issues and adverse trends. • Stay current with evolving industry and regulatory changes that impact the business. • Performs other duties and responsibilities as assigned. Knowledge and Skills: • Fundamental concepts, practices and procedures of auditing and risk assessment. • Fundamental concepts of financial markets and products. • Fundamental concepts of finance and accounting. • Understanding of operational risks and related controls of regulations. • Works well individually and in teams by sharing information, supporting colleagues and encouraging participation. • Excellent verbal and written communication skills with the ability to present complex and sensitive issues to Senior Management. • Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness. • Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically. • Proven ability to multi task, complete projects on time and within a budget, and adapt to changing priorities. • Enthusiastic, self-motivated, and effective under pressure. • Planning, organizing and conducting audits. • Identifying key business processes. • Identifying and documenting risk management issues. • Testing key controls within business processes. • Preparing written reports and delivering oral presentations. Educational/Previous Experience Requirements: • Bachelor’s Degree in Business Administration, Finance, or Accounting and a minimum of three (3) years of experience in the financial services industry ~or~ • Any equivalent combination of education, experience and/or training approved by Human Resources. Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance Work Experience General Experience - 3 to 6 years Certifications Travel Less than 25% Workstyle Hybrid The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com. 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. #LI-JB1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

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