Director, AML and Financial Crimes Management

RAYMOND JAMES FINANCIAL - Saint Petersburg, FL (30+ days ago)3.9


Job Summary:
Under limited direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to lead AML- and Financial Crimes Management (FCM)-related projects, programs or processes in regards to designing, implementing and optimizing investigations involving enterprise-level solutions with significant business impact to multiple Raymond James’ subsidiaries. Works with members of the management team to develop tactical plans for FCM-related enterprise client and corporate securities review initiatives. Completes assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to problems or needs. Performs extensive analysis of identified issues, current processes and procedures and proposed remediations. Regular contact with various departments/branches of Raymond James Financial and C-level executives is required to perform the functions of this job.

Essential Duties and Responsibilities:
  • Evaluate, enhance and optimize investigations associated with Anti-Money Laundering (AML)/Counter-Terrorist Financing (CTF)/Sanctions.
  • Develop policies, standards and procedures, tailored to fraud or client investigations and higher-risk corporate securities reviews, while in alignment with our corporate policies and standards.
  • Tailor appropriate training modules for Raymond James’ enterprise AML programs; deliver investigations and reviews training, as required, to appropriate AML staff of subsidiaries and ensure appropriate FCM training participation by all associates of those subsidiaries.
  • Monitor compliance of client investigations and higher-risk corporate securities reviews or financial investigations and governmental reporting with FCM Program; identifying, reporting and ensuring remediation of any related issues; and serve as the primary liaison to RJF business executives on enterprise client investigations and higher-risk corporate securities reviews matters.
  • Research, recommend and implement investigations and initiatives to achieve strategic objectives as defined by the Chief AML Officer.
  • Demonstrate an understanding of the broader FCM-related client investigations and higher-risk corporate securities reviews issues and goals essential for selecting and planning new projects.
  • Analyze investment merits/risks of proposed new toolings and processes.
  • Interact with C-level/executive management, business and compliance partners and financial advisors.
  • Coaches and mentors staff and identifies training needs and creates development plans.
  • Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
  • Plans, assigns, monitors, reviews, evaluates and leads the work of assigned staff.
  • Other projects and duties as assigned.

Knowledge, Skills, and Abilities:
Knowledge of:
  • US Anti-Money Laundering and Sanctions regulatory requirements. (Knowledge of foreign AML and Sanctions regulatory requirements a plus).
  • Financial markets, products, financial advisory function and investment process.
  • Advanced AML/FCM client investigations and higher-risk corporate securities reviews concepts, practices and procedures.
  • Concepts, practices and principles of project management.
Skill in:
  • Preparing and delivering clear, effective, and professional presentations.
  • Demonstrating strong communication skills in all aspects of role that influence individuals outside of his or her span of control.
  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to:
  • Build strong working relationships with teams, stakeholders and senior management.
  • Partner with other functional areas to accomplish objectives.
  • Identify problems, gather facts and develop solutions.
  • Analyze problem/situation to determine needs, wants and goals.
  • Identify and lead project teams, including planning, assigning, monitoring, reviewing and evaluating project activities.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Attend to detail while maintaining a big picture orientation.
  • Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
  • Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
  • Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.
Educational/Previous Experience Requirements:
  • Bachelor’s degree (B.A.) from four-year College or university and a minimum of ten (10) years of experience preferably in a financial services firm or a consulting firm with projects supporting financial services firms.

  • Any equivalent combination of experience, education, and/or training.
  • None required.
  • Certification of AML specialization preferred.
  • Regulatory industry license preferred.