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Raymond James · 18 hours ago

Senior Manager, AML FCM Financial Intelligence Unit

St. Petersburg, FL

Full-time

Hybrid

Senior Level, Lead/Staff

10+ years exp

Raymond James is seeking a Senior Manager for their AML Financial Intelligence Unit. The role involves managing an AML and Financial Crimes function, ensuring compliance, overseeing projects, and providing solutions to complex issues.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Manages a team to design and execute various AML programs, monitoring groups or governance office

Perform supervisory activities including: identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting staff

Plan, assign, monitor, review, evaluate and lead the work of others

Ensure compliance with Raymond James’ policies, operating procedures, and other requirements through ongoing monitoring, management, and review of the governance framework

Develop and implement adequate internal controls to ensure compliance with AML rules and timely detection of suspicious activity

Evaluate the AML training modules, and make recommendations for improvement as necessary

Implement corrective actions to promptly address any audit or regulatory findings

Report progress on corrective actions to Senior Management and the Board

Oversee implementation of the automated AML system and ensure continuous improvements to existing processes

Train associates and manage resources for AML liaisons in various departments, including monitoring roles and responsibilities

Create reports to summarize and explain risk assessment results to Senior Management, Risk, and other key stakeholder groups. Ensure responses and remediation actions are promptly reported and executed

Maintain up-to-date knowledge of policies and procedures, industry best practices, and regulatory initiatives

Performing other duties as assigned

Qualification

AML complianceBSA regulationsCAMS certificationRisk assessmentTeam managementWritten communicationVerbal communicationProblem solvingPresentation skills

Required

Bachelor's: Accounting

Bachelor's: Business Administration

Bachelor's: Finance

High School (HS) (Required)

General Experience – 10 to 15 years

Manager Experience - 6 to 10 years

Knowledge of BSA, AML, sanctions-related laws, regulations and guidance

Knowledge of CIP/CDD/EDD, sanctions, financial intelligence, transaction monitoring and SARs, including associated risks and controls

Knowledge of Governance, compliance, legal, internal and external auditing environments, practices and procedures for broker/dealers, investment and financial planning industries, and related processes and procedures

Knowledge of Regulatory and compliance environment

Skill in Analysis with the ability to solve complex problems and execute action plans

Skill in Prepare and conduct presentations with senior leaders within the organization

Skill in Written and verbal communication

Ability to Understand multi-dimensional operational problems and develop innovative and practical solutions to deliver superior results

Ability to Develop sound policies, standards, guidelines and procedures based on in-depth knowledge of regulatory requirements, as well as Raymond James' services, products and strategic visions

Ability to Manage, lead, and mentor a team

Ability to Analyze and communicate regulatory concepts to different target audiences

Ability to Optimize work processes, multi-task, and handle multiple projects with demonstrated success

Ability to Implement solutions while collaborating with multiple units throughout Raymond James

Ability to Manage and prioritize multiple efforts from initiation to execution