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Raymond James Financial Services, Inc.

Compliance & Internal Audit Officer
Title: Compliance & Internal Audit Officer
Department: Audit
Status: Full Time
Hours: Mon- Fri
Description: Assist the Internal Audit and Compliance Manager in meeting compliance and audit goals. Assist in administration and monitoring of programs that ensure compliance with laws, regulations and rules governing American State Bank & Trust Company operations and product offerings. Provides the Internal Audit and Compliance Manager with the information to accurately determine the extent of compliance. Assists departments and supervisors, as directed by the Internal and Compliance Audit Manager, to provide information, training and direction on compliance changes that affect them. Must be able to complete audits as assigned and prepare reports on findings. Work is performed under minimum supervision in most cases. Certain aspects of the job require some degree of independent judgment.

1. An understanding of human relations and the ability to maintain satisfactory relationships with staff.
2. Excellent verbal and written communication skills.
3. A Bachelor’s degree in business or related field or appropriate work experience.
4. Demonstrate proficiency in financial institution compliance requirements and application of compliance standards to process and procedures. Demonstrate proficiency in application of internal auditing theory, standards, procedures and techniques.
5. Considerable banking experience with a compliance background and/or specialized training designations such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or similar is desired.
6. Must have the ability to read, analyze and interpret government regulations, trade journals and legal documents and make them relevant to bank operations.
7. Knowledge of banking laws, regulations, procedures and policies is essential.

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