What are the responsibilities and job description for the IT Controls Manager - SOC & 17a-5 Controls position at Raymond James Financial Incorporated?
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.
Essential Duties and 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 control
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 review
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 risk
Collaborate with IT controls team and other stakeholders to evaluate and enhance documentation for key ITACs, interface controls and GITC
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 plan
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 control
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 assigne
Qualifications : Qualifications :
In-depth understating of IT internal control concepts, SOX, and COSO framework
Experience in managing against deadline
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 skill
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 prioritie
Self-motivated audit professional who effectively analyzes risk and proactively identifies issue
Ability to work well individually and in teams, share information, support colleagues, and encourage participation
Educational / Previous Experience Requirements :
- Bachelor's Degree (B.A.) in Accounting or Finance (Accounting preferred). 5 years related work experience specializing in SOX concepts, practices and procedures, and IT subject-matter proficiency (IT logical access, change management, data flow, SDLC, GITCs); audit experience within public accounting and / or Internal Audit is a plu
- Any equivalent combination of experience, education and / or training approved by Human Resource
Licenses / Certifications :
Raymond James Guiding Behaviors
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 :
