Senior Risk Management & Control Assurance Lead

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); Hybrid; USD 120,000 - 160,000; Full time

Benefits offered by this job

Medical, Dental, Vision

Life Insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James is seeking a hands-on Manager of Risk Management Control Assurance to lead and execute risk-based assurance reviews across key processes and controls. The role emphasizes translating strategy into actionable work plans, delivering timely, high-quality results, and coaching a team through evolving assurance frameworks.

The position requires 7+ years in risk-related fields, 2+ years of leadership, and strong communication to manage stakeholders in a matrixed organization.

Qualifications

• 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.

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 elevate 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.

Education

Bachelor’s - Accounting

Bachelor’s - Business Administration

Job description

Raymond James is seeking a hands-on Manager of Risk Management Control Assurance to lead and execute risk-based assurance reviews across key processes and controls. The role emphasizes translating strategy into actionable work plans, delivering timely, high-quality results, and coaching a team through evolving assurance frameworks.

The position requires 7+ years in risk-related fields, 2+ years of leadership, and strong communication to manage stakeholders in a matrixed organization.