IT Controls Manager - SOC & 17a-5 Controls

Description

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

Qualifications

Qualifications:

In-depth understating 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

Educational/Previous Experience Requirements:

• Bachelor's Degree (B.A.) in Accounting or Finance (Accounting preferred). 5 years related work experience specializing in SOX concepts, practices and procedures, and IT subject-matter proficiency (IT logical access, change management, data flow, SDLC, GITCs); audit experience within public accounting and/or Internal Audit is a plus

or~

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

Licenses/Certifications:

• CPA, CISA, CISSP preferr

Job: Auditing

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2403923