Manager, Internal SOX Controls - RJ Bank

Manager, Internal SOX Controls - RJ Bank-2402714

Description

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 audits
• 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 activities
• 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 deficiencies

• 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 regulations
• Assists in developing controls during implementation of new products / processes across Bank business units
• Performs other duties and responsibilities as assigned

Qualifications

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 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.

Banking