IT SOX & 17a-5 Controls Manager

Job Description

 Job Summary:

We are currently searching for a new team member to join our SOX & 17a-5 Controls Team in St. Petersburg, FL.  This position is currently Hybrid.

Under general direction, uses knowledge and skills, obtained through education and/or experience, to assess, identify, evaluate, and document the key IT controls within the current and future control environment. Helps to identify emerging risks and key controls for system implementations, upgrades, and renovations. Works on difficult assignments that are broad in nature requiring originality and ingenuity. Recommends process improvements for the Firm to improve internal controls.  Extensive contact with internal customers and management is required to identify, research, analyze, and evaluate the control environment.

• Partner with colleagues and stakeholders (including business unit personnel, back office (ops, IT etc.), Finance, Audit and Risk) to evaluate and report on the adequacy and effectiveness of IT SOX controls
• Work closely with the IT Technology Risk and Assurance team [DR1] on various strategic projects to enhance the control framework
• Manage IT controls-based projects of varying scope and complexity including system implementations, upgrades, and process reviews
• Engage with IT control owners and stakeholders regarding the identification and effective design of IT control processes; includes documenting end-to-end processes/data flows and identifying/understanding relevant financial statement risks
• Collaborate with IT controls team and other stakeholders to evaluate and enhance documentation for key ITACs, interface controls and GITCs
• Establish and maintaining professional, working relationships with IT control owners and stakeholders; serve as a key point-of-contact for IT control-related questions and concerns.
• Help to assess and remediate IT control exceptions by diagnosing root causes, evaluating impact, evaluating mitigating controls, and developing action plans
• Collaborate with Internal and External Audit, and Risk counterparts to evaluate and report on IT testing progress throughout the audit cycle
• Partner with the external auditor’s Technology Assurance team to facilitate the timely delivery of documentation requests from the firm, provide logistical support for meetings and walkthroughs, and critically evaluate and clarify the external auditor’s IT scope
• Identify and effectively communicate opportunities for improvement in the design and effectiveness of key controls
• Build and maintain key relationships with stakeholders, establishing a culture of engagement whilst adding value.
• Stay current with evolving industry and regulatory changes impacting the business.
• Performs other duties and responsibilities as assigned.

Skills:

• In-depth understating of IT internal control concepts, SOX, and COSO framework
• Experience in managing against deadlines
• Specific subject matter expertise regarding control disciplines and a solid business understanding of Financial Services products and services highly preferred
• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner
• Enthusiastic, self-motivated, effective under pressure
• Strong interpersonal and communication skills
• Proven ability to build strong relationships with key stakeholders, desire to learn quickly, be flexible and think strategically
• Proven ability to assess and prioritize competing priorities
• Self-motivated audit professional who effectively analyzes risk and proactively identifies issues
• Ability to work well individually and in teams, share information, support colleagues, and encourage participation

Education

Work Experience

Certifications

Travel

Workstyle

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.