Job Description Summary
Under limited direction, the Manager, Risk Management Control Assurance, is a hands-on, execution-focused leader responsible for planning, conducting, documenting, and delivering risk-based assurance reviews of key processes and controls across Risk Management. Building upon established Quality Control capabilities, this role translates program strategy and methodology into day-to-day review execution, extending assurance beyond transactional or case-level reviews to evaluate broader control design, execution, sustainability, and risk outcomes.
The Manager is accountable for timely review delivery, work quality, team coordination, stakeholder engagement, and escalation of significant control concerns. The role will identify systemic control weaknesses and emerging risk themes, communicate actionable results to management, coach assurance professionals, and help implement the continued evolution of the Risk Management Control Assurance framework. Success requires a resilient and adaptable leader who can execute through significant change, navigate ambiguity and competing priorities, constructively manage conflict, and influence outcomes across a matrixed organization through both direct and indirect relationships. The function provides risk-based assurance designed to complement established monitoring, testing, risk assessment, and audit activities while minimizing unnecessary duplication and maintaining appropriate independence and objectivity.
Job Description
Essential Duties and Responsibilities:
- Lead and actively participate in assurance reviews, including scoping, risk assessment, execution of assurance procedures, documentation, development of conclusions, and reporting.
- Translate assurance methodology into executable workplans, priorities, assignments, and deliverables.
- Manage day-to-day review execution, monitoring quality and progress, resolving barriers, and adjusting priorities as needed.
- Own assurance review timelines and deliverables, ensuring work is completed timely, accurately, and in accordance with established methodology and quality expectations.
- Assess control design, execution, documentation, and effectiveness against applicable requirements, established risk expectations, and defined assurance criteria.
- Support implementation and expansion of assurance coverage, helping establish practical processes and sustainable execution practices.
- Engage team members and cross-functional partners, constructively manage differing perspectives, and influence outcomes within a matrixed organization.
- Identify control gaps, recurring trends, process weaknesses, emerging risks, and opportunities to strengthen the control environment.
- Perform and facilitate root-cause analysis to distinguish isolated exceptions from systemic control or process deficiencies.
- Form and communicate well-supported assurance conclusions based on review results and independent professional judgment; develop concise, actionable reporting for management and senior leadership; and timely escalate significant or systemic control concerns.
- Partner with process owners, control owners, Compliance, Operational Risk, Internal Audit, and other stakeholders while exercising independent professional judgment and maintaining appropriate objectivity in assurance assessments and conclusions.
- Coordinate assurance coverage with relevant Risk, Compliance, testing, and Internal Audit stakeholders to promote complementary coverage, appropriate reliance, and minimize unnecessary duplication of assurance activities.
- Provide constructive challenge regarding control effectiveness, risk exposure, and management actions to address identified control weaknesses.
- Perform and oversee quality review of assurance workpapers, supporting documentation, conclusions, and reporting to promote accuracy, consistency, and defensibility.
- Lead, coach, and develop team members; manage workload, performance, and development; provide timely review and quality feedback; and expand team capabilities in risk assessment, control analysis, professional judgment, and executive communication.
- Support development and enhancement of assurance methodologies, procedures, metrics, reporting standards, and governance practices.
- Leverage and advance the use of data analytics, automation, and technology to enhance assurance coverage, improve review efficiency, and identify systemic risk and control trends.
Qualifications
Required
- Bachelor’s degree in Business, Finance, Accounting, Risk Management, Criminal Justice, or a related discipline, or an equivalent combination of education and experience.
- 7+ years of relevant experience in risk management, quality assurance/control, compliance, financial crimes, operational risk, controls testing, audit, or related field.
- 2+ years of leadership, supervisory, or equivalent project leadership experience.
- Demonstrated experience leading teams or programs through significant organizational, process, or control change.
- Experience operating in a matrixed organization and achieving results through direct leadership, cross-functional partnership, and influence.
- Demonstrated adaptability and resiliency, with the ability to navigate ambiguity, competing priorities, and differing perspectives while maintaining execution and delivery.
- Demonstrated experience planning, executing, documenting, and reporting risk-based assurance, control testing, quality reviews, or comparable risk and control assessments.
- Strong analytical, critical-thinking, and root-cause analysis capabilities.
- Strong written and verbal communication skills, including the ability to communicate complex risk and control matters to management.
- Ability to provide effective and constructive challenge while maintaining productive stakeholder relationships.
- Strong organizational and execution skills, with the ability to manage concurrent priorities and deliver high-quality work within established commitments.
Preferred
- Experience in Financial Crimes, AML, Compliance, Operational Risk, Enterprise Risk Management, or another regulated risk discipline.
- Experience with Quality Assurance, Quality Control, control testing, monitoring, audit, or assurance programs.
- Knowledge of risk and control concepts, including control design and effectiveness, RCSA, monitoring, and assurance.
- Knowledge of emerging assurance technologies, including artificial intelligence and automation, and associated risks and controls.
- Experience using data analytics to identify risk, control, or performance trends.
Licenses/Certifications:
- Relevant professional certifications such as CAMS, CIA, CISA, CPA, CRMA, or CRCM.
Education
Bachelor’s - Completed: Accounting, Bachelor’s - Completed: Business Administration
Work Experience
General Experience - 6 to 10 years
Certifications
Travel
Less than 25%
Workstyle
Hybrid
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
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.
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