Manager, Internal SOX Controls

1 week ago

St Petersburg, United States Raymond James Financial Incorporated Full time
Job Summary

Under limited supervision, uses knowledge and skills obtained through experience, specialized training and/or certification in the financial services industry to ensure the Sarbanes Oxley (SOX) Program for Raymond James Bank is robust and sufficient. Primary job responsibilities include reviewing the design of SOX and other internal controls, conducting risk assessments, and working with both internal and external auditors. The position is part of the RJ Bank Oversight & Control (O&C) Department which functions as the first-line of defense for RJ Bank. The position requires strong analytical, communication, presentation, and critical thinking skills with the ability to provide comprehensive solutions to complex problems or needs. The position also requires the ability to influence strategic direction and develop tactical plans with substantial latitude for independent actions or decisions.

Essential Duties and Responsibilities

•Provides oversight of the entire SOX process including planning, scoping, control design and deficiency remediation

•Prepares SOX documentation including process flows, narratives, risk assessments and risk and controls matrix

•Coordinates and works with internal audit and external auditors to facilitate SOX audit

•Provides training to business units and IT on topics such as SOX compliance, IT automated controls, IT general controls, and SOC-1 reporting

•Partners with internal audit and the Firm to facilitate timely issue management activitie

•Within Oversight & Control, potentially manage a dedicated team aligned to support SOX

•Assess control testing results against intended outcomes to identify the root cause and impact of control breakdowns or control gaps from a risk management perspective

•Partner with RJ Bank Management and internal stakeholders in other risk support functions to identify process improvements, technology solutions, additional training resources, etc. necessary to address control deficiencie

•Complete targeted risk assessments of SOX or other topics as deemed necessary

•Partner with RJ Bank Risk Management as a stakeholder in the Risk and Control Self-Assessment (RCSA) and Design Review Modification Checklist (DRMC) processes throughout the year

•Researches and evaluates the effect of changes in SOX regulation

•Assists in developing controls during implementation of new products/processes across Bank business unit

•Performs other duties and responsibilities as assigned

Qualifications:

Knowledge, Skills, and Abilities

Knowledge of

•SOX Regulation

•COSO Framework

•FDICIA Regulation

•Knowledge of various internal control documentation software (Workiva/Auditboard)

•Concepts, practices, and procedures of banking compliance

•Mortgage and Securities Based Lending regulatory requirement

•Principles of banking and finance and securities industry operation

•Financial markets and product

•Management of internal and external regulatory exams and audit

Skill in

•Managing SOX Program

•Reviewing, interpreting and analyzing new products and processe

•Identifying and implementing controls and quality assurance processes.

•Analyzing and proposing control point

•Researching complex issue

•Interpreting and applying policies and procedure

•Promoting effective coordination between departments and other functional area

•Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets and complex database

Ability to

•Attend to detail while maintaining a big picture orientation

•Gather information, identify linkages and trends and apply findings to assignment

•Interpret and apply banking regulations and identify and recommend compliance changes as appropriate

•Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing prioritie

•Work independently as well as collaboratively within a team environment to accomplish work

•Keep abreast of banking industry rules and regulations and best practices in compliance

•Resolve complex problems/issues, independently analyze information, and make recommendations based on analysi

•Read, analyze, interpret and apply information from regulations, policies, financial reports, and legal documents in order to identify and recommend change

•Partner with other functional areas to accomplish objective

•Establish and maintain effective working relationships at all levels of the organization

•Incite enthusiasm and influence, motivate and persuade other to achieve desired outcomes without organizational authority

•Communicate effectively, both orally and in writing, with all organizational level

Educational/Previous Experience Requirements

Education/Previous Experience

•Bachelor's Degree (B.A.) in Accounting or Finance and (6) years' experience in specific area of expertise of assigned work area

•Supervisory experience beneficial

•OR ~

•Any equivalent combination of experience, education, and/or training approved by Human Resource

Licenses/Certifications

•Certified Public Accountant (CPA) designation, CIA, or CISA preferred.

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:

•Grow professionally and inspire others to do the same

•Work with and through others to achieve desired outcome

•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

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