CASY-MSCCN Jobs

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

Knowledge, Skills, and Abilities

Knowledge of

• SOX Regulations

• 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 requirements

• Principles of banking and finance and securities industry operations

• Financial markets and products

• Management of internal and external regulatory exams and audits

Skill in

• Managing SOX Programs

• Reviewing, interpreting and analyzing new products and processes

• Identifying and implementing controls and quality assurance processes.

• Analyzing and proposing control points

• Researching complex issue

• Interpreting and applying policies and procedures

• 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 databases

Ability to

• Attend to detail while maintaining a big picture orientation

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

• 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 priorities

• 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 analysis

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

• Partner with other functional areas to accomplish objectives

• 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 levels

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 Resources

Licenses/Certifications

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

Job: Banking

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

Organization RJ Bank

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2402714

Raymond James Bank is an EOE/AA and VEVRAA Federal Contractor

Priority will be given to protected veterans

EOE Protected Veterans/Disability