What are the responsibilities and job description for the IT Controls Manager - SOC & 17a-5 Controls position at Raymond James Financial Services?
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 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 assigne
