**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. **Qualifications:** **Knowledge of** + Audit practices and methodologies, including risk assessment internal control concepts. + Control disciplines (expert level), and a solid business understanding of Raymond James products and Services, especially those associated with the area of responsibility. + Laws and regulations pertaining to anti-money laundering, counter-terrorism, sanctions, fraud, and identity theft. + Advanced investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and products. **Skill in** + Project management. + Managing people in a project leader role, including managers and Senior Auditors. + Interacting with and influencing senior leadership, including executive management. + Managing against deadlines associated with an annual audit plan. + 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. Recognized as a leadership role model. + Present complex and sensitive issues to management in a persuasive manner. + Demonstrate enthusiasm, self-motivation, and effectiveness under pressure and willingness to take personal risk and accountability. + Multitask as well as assess and change priorities. + Work well individually and in teams to share information, support colleagues and encourage participation. **Educational/Previous Experience Requirements:** + 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. ~or~ • Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications:** • CAMS, CFE, CGSS, CIA, or equivalent experience required, or a commitment to obtain a relevant certification aligned to a timeline agreed upon with management.