Raymond James · 1 day ago
Senior Manager Internal Audit-Financial Crimes Management
Saint Petersburg, Florida - United States
Full-time
Hybrid
Senior Level, Lead/Staff
8+ years expRaymond James is a financial services company that conducts comprehensive domestic and international Financial Crimes audits. The Senior Manager will oversee audit production, provide guidance and support to auditors, and lead major projects with significant business impact.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Develop and execute a robust Audit Plan for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations
Oversee multiple audit engagements from the planning stages through the reporting stages
Produce quality deliverables in accordance with both department and professional standards
Apply expertise in one or more of the organization's businesses and leverages this knowledge into a leadership role in one or more teams
Manage Audit staff
Attract, develop, and retain talent within the Audit organization
Establish strong relationships with senior leaders, including executive management, and related control groups
Use excellent communication skills to influence a wide range of internal audiences, including respective product, function, or executive management partners
Hold entire team accountable for meeting deliverables, adhering to Quality Assurance criteria. Use consistent methodology
Finalize audit findings and provide an overall opinion on the control environment. Communicate audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls
Implement and execute an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
Participate in major business initiatives and proactively advise and assist the business on change initiatives
Stay up-to-date with evolving industry and regulatory changes impacting the business
Build and maintain effective working relationships with Regulators and External Auditors
Manage expenses in accordance with a budget, solving for department inefficiencies and excess spending
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's Degree in Business Administration, Finance, Accounting or a related field and a minimum of eight (8) years of experience in the financial services industry
4+ years of AML / FCM experience in wealth management, broker-dealer, and/or correspondent bank or equivalent experience
Proven experience with AML QA, Testing, Internal Audit and/or Regulatory reviews
CAMS, CFE, CGSS, CIA, or equivalent experience required, or a commitment to obtain a relevant certification aligned to a timeline agreed upon with management
Knowledge of audit practices and methodologies, including risk assessment internal control concepts
Knowledge of control disciplines (expert level), and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility
Knowledge of laws and regulations pertaining to anti-money laundering, counter-terrorism, sanctions, fraud, and identity theft
Knowledge of advanced investment concepts, practices and procedures used in the securities industry
Knowledge of principles of banking and finance and securities industry operations
Knowledge of financial markets and products
Skill in project management
Skill in managing people in a project leader role, including managers and Senior Auditors
Skill in interacting with and influencing senior leadership, including executive management
Skill in managing against deadlines associated with an annual audit plan
Skill in assessing the probability and impact of a control weakness
Ability to make sound decisions, exhibit initiative and intuitive thinking, and act as a consultant for others for advice and opinions
Ability to present complex and sensitive issues to management in a persuasive manner
Ability to demonstrate enthusiasm, self-motivation, and effectiveness under pressure and willingness to take personal risk and accountability
Ability to multitask as well as assess and change priorities
Ability to work well individually and in teams to share information, support colleagues and encourage participation
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
H1B Sponsorship
Raymond James has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2023 (1)
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Executive Officer
James Sickling
COO - Fixed Income
Recent News
Private Banker International
2026-01-17
2026-01-16
Company data provided by crunchbase