Manager, Risk Management Control Assurance

Raymond James & Associates; Saint Petersburg (FL); On-site; USD 140,000 - 190,000; Full time

Job summary

Raymond James & Associates is seeking a Manager, Risk Management Control Assurance to lead hands-on risk-based assurance reviews across key processes and controls in Risk Management. You will translate strategy into day-to-day execution, expand assurance beyond transactional reviews, and uphold independence and objectivity.

The role demands a resilient leader who can manage timelines, coach staff, and communicate findings to senior leadership while improving the assurance framework through

Qualifications

• Experience leading risk management or QA/control programs.
• Ability to translate strategy into executable review plans.

Responsibilities

• Lead and participate in risk-based assurance reviews from scoping to reporting.
• Manage day-to-day review execution and monitor progress against timelines.
• Assess control design and effectiveness against requirements and criteria.
• Coordinate with Compliance, Operational Risk, Internal Audit and other stakeholders.
• Coach and develop assurance staff and promote sound professional judgment.
• Identify control gaps and emerging risk themes for action by management.

Skills

Leadership

Risk Management

Quality Assurance

Stakeholder Engagement

Executive Communication

Education

Bachelor's degree in Business, Finance, Accounting, Risk Management, Criminal Justice, or related discipline

Job description

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; development and concise actionable reporting for management and senior leadership; and timely esc.
• 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 duplication.
• 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, 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.
• Expe