IT SOX & Controls Manager

IT SOX & 17a-5 Controls Manager at Raymond James

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

• 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 maintain 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.

• 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), Bachelor’s:
Business Administration, Bachelor’s:
Finance

Manager Experience – 3 to 6 years

None specified

Less than 25%

Hybrid

• 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

Mid‑Senior level

Full‑time

Information Technology

Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.