Manager, Risk Management Control Assurance

Raymond James • Saint Petersburg, FL

10d • Hybrid

About The Position

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 on established Quality Control capabilities, the role translates program strategy and methodology into day-to-day review execution and evaluates broader control design, execution, sustainability, and risk outcomes. The Manager is accountable for timely delivery, work quality, team coordination, stakeholder engagement, and escalation of significant control concerns. The role identifies systemic control weaknesses and emerging risk themes, communicates actionable results to management, coaches assurance professionals, and supports the continued evolution of the Risk Management Control Assurance framework.

Success requires resilience and adaptability, including the ability to execute through significant change, navigate ambiguity and competing priorities, constructively manage conflict, and influence outcomes across a matrixed organization. The function provides risk-based assurance that complements monitoring, testing, risk assessment, and audit activities while minimizing unnecessary duplication and maintaining appropriate independence and objectivity.

The position leads and participates in reviews from scoping and risk assessment through procedures, documentation, conclusions, and reporting. It manages review execution and quality, assesses control design and effectiveness, identifies systemic issues, and communicates well-supported findings to management and senior leadership. The Manager also partners with process and control owners and Risk, Compliance, and Internal Audit stakeholders; oversees work quality; leads and develops team members; and advances assurance methodology, reporting, analytics, automation, and technology.

Requirements

• Bachelor’s degree in Business, Finance, Accounting, Risk Management, Criminal Justice, or a related discipline, or an equivalent combination of education and experience.
• At least 7 years of relevant experience in risk management, quality assurance or control, compliance, financial crimes, operational risk, controls testing, audit, or a related field.
• At least 2 years of leadership, supervisory, or equivalent project leadership experience.
• 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.
• Adaptability and resiliency, including the ability to navigate ambiguity, competing priorities, and differing perspectives while maintaining execution and delivery.
• 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, constructive challenge while maintaining productive stakeholder relationships.
• Strong organizational and execution skills, including the ability to manage concurrent priorities and deliver high-quality work within established commitments.

Nice To Haves

• 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.
• Relevant professional certifications such as CAMS, CIA, CISA, CPA, CRMA, or CRCM.

Responsibilities

• Lead and participate in assurance reviews, including scoping, risk assessment, execution of procedures, documentation, conclusion development, and reporting.
• Translate assurance methodology into workplans, priorities, assignments, and deliverables.
• Manage day-to-day review execution, monitor quality and progress, resolve barriers, and adjust priorities as needed.
• Own review timelines and deliverables, ensuring timely and accurate work consistent with methodology and quality expectations.
• Assess control design, execution, documentation, and effectiveness against applicable requirements, risk expectations, and assurance criteria.
• Support implementation and expansion of assurance coverage and establish practical, sustainable execution processes.
• Engage team members and cross-functional partners, manage differing perspectives constructively, and influence outcomes in 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.
• Develop and communicate well-supported conclusions based on review results and independent professional judgment.
• Prepare concise, actionable reporting for management and senior leadership, and promptly escalate significant or systemic control concerns.
• Partner with process owners, control owners, Compliance, Operational Risk, Internal Audit, and other stakeholders while maintaining objectivity and independent judgment.
• Coordinate assurance coverage with Risk, Compliance, testing, and Internal Audit stakeholders to promote complementary coverage and appropriate reliance and reduce unnecessary duplication.
• Provide constructive challenge regarding control effectiveness, risk exposure, and management actions addressing control weaknesses.
• Perform and oversee quality reviews of workpapers, supporting documentation, conclusions, and reporting.
• Lead, coach, and develop team members; manage workload, performance, and development; provide timely review and quality feedback; and build team capabilities.
• Support development and enhancement of assurance methodologies, procedures, metrics, reporting standards, and governance practices.
• Advance the use of data analytics, automation, and technology to improve assurance coverage and efficiency and identify systemic risk and control trends.

Benefits

• Medical, dental, and vision benefits
• Life insurance
• Critical illness insurance and accident insurance
• Disability benefits
• Retirement savings
• Paid time off, including vacation, holidays, and sick leave
• Parental leave
• Potential additional compensation, such as cash or equity, discretionary bonuses, or commissions

What This Job Offers

• Job Type: Full-time
• Career Level: Manager