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Job Description

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 effectiveness in achieving specified results. Extensive contact with internal customers is required to identify, research, analyze, and resolve complex issues.

This Manager is responsible for overseeing a team of AML Analysts whose primary focus is client enhanced due diligence.

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 AML Know Your Client populations.

• Provide training and mentoring to new and existing Associates.

• Promptly escalate AML risk relevant and critical or reputational risk matters.

• Provide guidance and support in the detection and reporting of suspicious activity.

• Administer policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act.

• 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 training modules and communications by providing material on timely subjects, incidents, and other relevant topics as necessary.

• Respond to regulatory inquiries and coordinate with other compliance personnel.

• Maintain currency in laws and regulations pertaining to anti-money laundering compliance.

• Provides guidance to Raymond James Associates regarding AML policies.

• Perform other duties and responsibilities as assigned.

Skills:

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

• Rules and regulations of the USA Patriot Act.

• 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 anti-money laundering policies and procedures.

• Analyzing activity documentation to identify irregular transactions.

• Administering regulatory notifications and filings.

• Planning and scheduling work to meet organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliance 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 AML Investigation Analysts.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply anti-money laundering 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.

• Schedule and facilitate team and interdepartmental meetings as needed

Maintain confidentiality.

Licenses/Certifications:

• ACAMS is required or the ability to obtain in one (1) year.

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required)

Work Experience

General Experience - 6 to 10 years

Certifications

Certified Anti-Money Laundering Specialist (CAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)

Salary Range

$100,000.00-$100,000.00

Travel

Less than 25%

Workstyle

Remote

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:

• Grow professionally and inspire others to do the same

• Work with and through others to achieve desired outcomes

• Make prompt, pragmatic choices and act with the client in mind

• Take ownership and hold themselves and others accountable for delivering results that matter

• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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