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Raymond James · 6 days ago

Team Lead, AML FCM Client Intelligence Unit

St. Petersburg, FL

Full-time

Hybrid

Mid, Senior Level

3+ years exp

Raymond James is a financial services firm, and they are seeking a Team Lead for their AML FCM Client Intelligence Unit. The role involves leading compliance initiatives related to Anti-Money Laundering, mentoring analysts, and ensuring adherence to regulatory requirements.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Serves as the primary point of contact for business unit escalations, questions and advisor issues

Coaches and mentors new and existing analysts

Devises and analyzes metrics, as well as prepares reports related to key measurements of AML customer onboarding activities

Assists with various projects and acts as the main point of contact for outside consultants

Serves as the primary back-up for the CIU Team Leads and provides informal guidance to CIU team members

Prepares and leads AML CIU trainings for other business units within the firm

Drafts and administers policies and procedures to ensure compliance with regulations related to money laundering, as included in the USA PATRIOT Act

Monitors regulatory developments and industry trends to incorporate into the firm’s AML program

Develops documentation related to AML issues to enhance corporate policies

Maintains knowledge of best practices in investigative research processes using various sources such as industry groups, information issued by regulatory groups, and the United States government

Responds to regulatory inquiries and coordinates with other compliance personnel

Maintains currency in laws and regulations pertaining to AML compliance

Provides guidance to Raymond James Associates regarding AML policies

Perform duties in a highly professional manner to address and resolve conflicts or issues to facilitate a positive working relationship between the field and home office

Perform other duties and responsibilities as assigned

Qualification

CAMSAML complianceKYC policiesSecurities industry knowledgeBanking complianceClient documentation analysisDrafting policiesInvestigating client issuesCustomer serviceEffective communicationTeam collaboration

Required

Extensive knowledge and skills in securities, the banking industry, and/or compliance—gained through experience, specialized training, and/or certification

Experience implementing Know Your Client (KYC), Customer Identification Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and ensuring adherence to compliance and Anti-Money Laundering (AML) rules and regulations

Ability to lead projects of significant scope and complexity

Serves as the primary point of contact for business unit escalations, questions and advisor issues

Coaches and mentors new and existing analysts

Devises and analyzes metrics, as well as prepares reports related to key measurements of AML customer onboarding activities

Assists with various projects and acts as the main point of contact for outside consultants

Serves as the primary back-up for the CIU Team Leads and provides informal guidance to CIU team members

Prepares and leads AML CIU trainings for other business units within the firm

Drafts and administers policies and procedures to ensure compliance with regulations related to money laundering, as included in the USA PATRIOT Act

Monitors regulatory developments and industry trends to incorporate into the firm's AML program

Develops documentation related to AML issues to enhance corporate policies

Maintains knowledge of best practices in investigative research processes using various sources such as industry groups, information issued by regulatory groups, and the United States government

Responds to regulatory inquiries and coordinates with other compliance personnel

Maintains currency in laws and regulations pertaining to AML compliance

Provides guidance to Raymond James Associates regarding AML policies

Performs duties in a highly professional manner to address and resolve conflicts or issues to facilitate a positive working relationship between the field and home office

Bachelor's degree in Business Administration

General experience of 3 to 6 years

CAMS (Certified Anti-Money Laundering Specialist) requirement: If no previous AML experience, obtain certification within 18 months after hire date; those with one year or more AML experience must obtain certification within 12 months after hire date

Ability to provide guidance to CIU Analysts

Ability to gather information, identify linkages and trends and apply findings to assignments

Ability to interpret and apply AML regulations in order to identify and recommend compliance changes as appropriate

Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities

Ability to communicate effectively, both orally and in writing

Ability to independently research and resolve issues while working across teams to acquire information

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

Ability to provide a high level of customer service

Ability to establish and maintain effective professional working relationships at all levels of the organization

Ability to handle highly confidential information professionally and with appropriate discretion

Ability to maintain currency in AML rules, regulations, and best practices

Willingness to travel 10% of the time