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Raymond James · 1 week ago

IT SOX & 17a-5 Controls Manager

St. Petersburg, FL

Full-time

Hybrid

Mid, Senior Level

3+ years exp

Raymond James is currently searching for a new team member to join their SOX & 17a-5 Controls Team in St. Petersburg, FL. The IT SOX & 17a-5 Controls Manager will assess, identify, evaluate, and document key IT controls, while collaborating with various stakeholders to enhance the control framework and improve internal controls.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

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 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

Qualification

IT internal control conceptsSOX complianceCOSO frameworkFinancial Services knowledgeProject managementAnalytical skillsCommunication skillsInterpersonal skillsTeam collaboration

Required

In-depth understanding 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

Bachelor's: Accounting (Required)

Manager Experience - 3 to 6 years