Internal ID: 1702957
Job Summary: Under limited direction, uses extensive knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to develop, administer and enforce anti-money laundering rules and regulations. Leads projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Results are evaluated at agreed upon milestones for effectives in achieving specified results. Extensive contact with internal customers is required to identify, research, analyze, and resolve complex issues. Essential Duties and Responsibilities:
- Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff.
- Plans, assigns, monitors, reviews, evaluates and leads the work of others.
- Devise and analyze metrics and prepare reports related to key measurements of Enterprise Fraud prevention and monitoring activities for dissemination to key stakeholders and committees.
- Provide training and mentoring to new and existing Associates.
- Promptly escalate Fraud risk relevant and critical or reputational risk matters.
- Provide guidance and support in the detection and reporting of suspicious activity.
- Administer investigative standards, guidelines and procedures to ensure compliance with Legal, Regulatory, Operational and Business requirements.
- Maintain knowledge of best practices in investigative research processes based on sources such as industry groups and information issued by regulatory groups and the United States government.
- Contribute to various AML & Financial Crimes training modules and communications by providing material on timely subjects, incidents and other relevant topics as necessary.
- Respond to regulatory inquiries and coordinate with Business, Legal and Compliance personnel.
- Maintain currency in trends, laws, risks, and regulations pertaining to Fraud.
- Provides guidance to Raymond James Associates regarding Fraud policies, standards, guidelines and procedures.
- Collaborates with the Head of Fraud Governance to drive risk assessments, control reviews, gap analysis, issue management, etc.
- Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities: Advanced knowledge of:
- Concepts, practices and procedures of securities industry and/or banking compliance reviews.
- Rules, regulations and trends in Fraud.
- Fundamental investment concepts, practices and procedures used in the securities industry.
- Principles of banking and finance and securities industry operations.
- Financial markets and products.
- Administering Fraud policies and procedures.
- Analyzing activity documentation to identify irregular transactions.
- Administering regulatory notification and filings.
- Planning and scheduling work to meet regulatory organizational and regulatory requirements.
- Identifying and applying appropriate compliance monitoring procedures and tests.
- Preparing oral and/or written reports.
- Investigating compliances issues and irregularities.
- Making rule-based and analytical decisions.
- Operating standard office equipment and using required software applications.
- Supervise, coach and mentor a team of Fraud Investigation Analysts.
- Gather information, identify linkages and trends and apply findings to assignments.
- Interpret and apply regulations and identify and recommend compliance changes as appropriate.
- Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
- Communicate effectively, both orally and in writing.
- Work independently as well as collaboratively within a team environment.
- Provide a high level of customer service.
- Establish and maintain effective working relationships at all levels of the organization.
- Maintain confidentiality.
Educational/Previous Experience Requirements:
- Bachelor’s Degree (B.A.) from a four-year college or university in a related field and a minimum of 6 years’ experience in compliance in the securities or banking industry with a focus in anti-money laundering activities.
- Any equivalent combination of education, training and/or experience approved by Human Resources.
- CAMS required
- CFE preferred or ability to complete within 6 months
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOrganizationRJF Risk ManagementScheduleFull-timeShiftDay JobTravelYes, 10 % of the Time