Trust Auditor--Raymond James

Posted: March 12, 2024


Raymond James
Trust Auditor
St. Petersburg, FL (position can be remote)


Essential Duties and Responsibilities:

  • Lead and support audit activities such as: risk assessments, audit testing, control evaluation, work paper documentation, follow-up, and issue closure verification.
  • Partner with colleagues, clients, and control community members to evaluate the control environment. Make recommendations to strengthen internal controls.
  • Stay up-to-date with evolving regulatory changes and market events that impact the business.
  • Perform ongoing analysis of risk trends through business monitoring and audit coverage execution.
  • Partner with other groups within Audit to ensure complete coverage to deliver an integrated audit program.
  • Develop and maintain an in-depth understanding of business areas, financial products, and supporting functions.
  • Perform continuous monitoring of various business groups.
  • Perform data collection and analysis in compliance with audit program requirements to identify, analyze, and recommend changes to core business processes.
  • Assist in performing design reviews over assigned audit areas to identify key controls.
  • Independently perform tests of operational effectiveness to validate controls.
  • Identify, review, assess, and document risk management and control issues of assigned business processes.
  • Assist with the preparation of written recommendations regarding the effectiveness of assigned business processes. Prepare follow-up plans to ensure the aforementioned recommendations are addressed.
  • Performs other duties and responsibilities as assigned.


Knowledge of:

  • Fundamental concepts, practices, and procedures of auditing and risk assessment.
  • Fundamental concepts of financial markets and products.
  • Fundamental concepts of finance and accounting.
  • Operational risks and related controls of regulations.


Skill in

  • Working well individually and in a team.
  • Assessing the probability and impact of an internal control weakness.
  • Planning, organizing, and conducting audits.
  • Identifying key business processes.
  • Identifying and documenting risk management issues.
  • Testing key controls within business processes.
  • Preparing written reports
  • Delivering oral presentations
  • Project and time management


Ability to:

  • Share information, support colleagues, and encourage participation.
  • Present complex and sensitive issues to Senior Management.
  • Build strong relationships with stakeholders, learn quickly, be flexible, and think strategically.
  • Multi-task, complete projects on time and within a budget, and adapt to changing priorities.
  • Demonstrate enthusiasm, self-motivation, and effectiveness under pressure.
  • Prepare written reports and deliver oral presentations.
  • Research and properly understand regulations and regulatory guidance.


Education/Previous Experience

  • Bachelor’s Degree in Business Administration, Finance, or Accounting and a minimum of two (2) years of experience in the fiduciary industry.


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