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Company

Raymond James · 4 hours ago

Senior Manager, AML Strategy & Planning (Financial Crimes)

United States

Full-time

Remote

Senior Level, Lead/Staff

10+ years exp

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BankingFinancial Services

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Responsibilities

Collaborates with management, various domain leads, the Risk Project Management Office (PMO), and Technology teams to help build, define, and drive a multi-year strategy for FCM and Trade Surveillance.

Creates strong working relationships with enterprise technology and functional teams.

Works with stakeholders to define requirements, create test plans, and implement solutions.

Identifies opportunities to enhance and optimize the investigation process associated with Anti-Money Laundering (AML) / Counter-Terrorist Financing (CTF) / Sanctions, Fraud, Elder Financial Exploitation, and Trade Surveillance.

Executes project plans, collates, and reports status to assigned key initiatives.

Ensures projects remain on budget and within planned timelines or effectively escalate to ensure proper tradeoffs are met academically.

Contributes content to executive-level presentations outlining key components regarding vendor tools, data acquisition/storage, detection and screening systems, and integrating these applications.

Assists with documenting and distributing project plans, priorities, delivery schedules, and potential issues.

Simultaneously run multiple cross-enterprise engagements focused on enhancing key components of the Financial Crimes and Trade Surveillance technology stack (e.g., data, screening, detection, case management, etc.).

Interact with management, functional leads, and business partners as required.

Runs stand-ups, sprint planning, backlog grooming, and retrospectives, ensuring task alignment.

Coordinate and drive the enhancement and integration of multiple Financial Crimes surveillance, screening, and associated workflow tools across various Raymond James Financial business units and subsidiaries.

Based upon annual planning and business prioritization, this individual may experience increased focus on financial crimes in the first year of the role and expand to trade surveillance in subsequent years.

Other projects and duties as assigned.

Qualification

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Data integration methodsAdvanced analyticsCase management systemsFinancial Crimes productsBPMNAML investigationsTrade SurveillanceProject management methodologiesPMP certificationCBAP certificationCSM certificationCSPO certificationCAMS certificationCFE certification

Required

10-20 years of experience supporting Risk & Compliance functions in a Financial Services or Banking setting.

Bachelor’s degree (B.A. or B.S.) from a four-year College or university or equivalent experience in Business, Finance, Computer Science, or related fields.

Knowledge of general data integration methods, advanced analytics, case management workflow systems, data visualization, and/or process orchestration approaches.

Knowledge of various project management methodologies (Agile, Waterfall, Kanban, Scrum, etc.) and how to successfully support teams using various approaches.

Knowledge of widely used Financial Crimes and Trade Surveillance vendor products focused on case management, surveillance, screening (e.g., sanctions, KYC/customer identification program, negative media, etc.), fraud prevention, SAR/STR filing(s), enhanced due diligence, and related processes.

Knowledge of The USA Patriot Act, The Bank Secrecy Act, Federal Reserve SR 11-7 and OCC 2011-12 Supervisory Guidance on Model Risk Management, OCC MRM Comptroller's Handbook, FINRA rule 17-a4.

Knowledge of financial markets, products, financial advisory function, and investment process.

Knowledge of advanced AML/FCM client investigations and higher-risk corporate securities review concepts, practices, and procedures.

Skill in directly managing Risk & Compliance projects and/or programs.

Skill in creating business process flows using Business Process Modeling Notation (BPMN).

Skill in preparing and delivering clear, effective, and professional presentations.

Skill in strong communication in both written and verbal deliveries.

Ability to work independently as well as collaboratively within a team environment.

Ability to build strong working relationships with working teams, key stakeholders, and senior management.

Ability to understand, conceptualize, and convey complex business processes with crisp delivery outlining needs versus wants and goals.

Ability to attend to detail while maintaining a big-picture orientation.

Ability to compartmentalize and context switch from business to technical to program management.

Ability to partner with other functional areas to accomplish objectives.

Ability to facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed.

Ability to multi-task and balance competing priorities in a rapidly changing landscape.

Preferred

An MBA or master’s degree with strong academic credentials is a plus.

Explicit experience with Anti-Money Laundering (AML), Cyber Investigations/Fraud, Trade Surveillance, enterprise technology, and/or advanced analytics is highly regarded but not required.

Project Management Professional (PMP) or Certified Business Analyst Professional (CBAP) is a plus.

Certified Scrum Master (CSM) or Certified Product Owner (CSPO) are a plus.

Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE) certifications are a plus but not required.