Manager, Controls Assurance and Oversight

Job Title : Manager of Controls Assurance & Oversight

Responsible for managing a team to conduct the quality assurance of content, materials, and records and ensure quality is in line with company or national and international standards.

Summary of the Position :

The Manager of Controls Assurance & Oversight is responsible for the day-to-day management of the bank's internal control programs, under the direction of the Head of Enterprise Controls & Transformation. This role maintains the enterprise-wide control inventory, manages System and Organizational Controls (SOC) audits, partners with Enterprise Risk and Finance in the execution of Risk and Control Self-Assessments (RCSA) and Sarbanes-Oxley (SOX) audits, respectively. The Manager serves as the central point for coordinating and monitoring internal controls across all business units, ensuring that risks are properly identified, controls are effectively designed and operating, and any control issues are promptly remediated.

Primary Functions of the Position :

• Maintain the enterprise-wide inventory of internal controls. Ensures information on internal controls is current.
• Produce periodic reports on internal control coverage and identify any gaps or redundancies in the internal control framework for further action.
• Partners with Enterprise Risk to plan and execute the Bank's RCSA process across the organization.
• Oversee the tracking and remediation of internal control deficiencies and issues, from various sources including RCSAs, audits (internal / external), loss events, or other assessments.
• Serve as the coordinator for the SOC audit process. Work with relevant departments to define the audit scope, gather and organize internal control evidence, and interface with external auditors conducting the SOC audit.
• Maintain and update the Bank's policies and procedure documents related to operational risk and internal controls (e.g., Internal Control Policy, SOC audit methodology).
• Prepare clear and concise reports on the status of the internal control environment for management by consolidating outputs from all internal control management areas / topics including SOC, SOX, and RCSA.
• Partner with first-line business unit leaders, providing expertise and assistance with risk management and internal control practices.
• Coordinate with the Enterprise Risk and Compliance Departments to align controls that address regulatory feedback and support Compliance-led risk assessments with relevant internal control information.

Education and Experience Requirements :

Essential Skills and Abilities :

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 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.

At Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.