Raymond James Financial, Inc. Analyst AML & Financial Crimes - CIU (seeking EDD experience) in St. Petersburg, Florida
Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Assists on projects of moderate scope and complexity and serves as a technical advisor to various business lines. Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research and resolve problems.
Essential Duties and Responsibilities:
• Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations.
• Documenting and reporting the investigation findings in the case management system and preparing reports to management as required.
• Drafting reports detailing work performed and conclusions reached, which require minimal editing and provides a clear message including suggested corrective and/or remedial action.
• Developing metrics and reporting measures as directed and reporting results to management.
• Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate to Management.
• Perform reviews and analysis utilizing internal and third-party research tools.
• Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the US PATRIOT Act.
• Mentor colleagues/peers on internal AML policies, rules and regulations.
• Inform senior management about issues that may involve rule violations or potential liability.
• Maintain currency in laws and regulations pertaining to anti-money laundering compliance.
• Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
• Customer Due Diligence, Enhanced Due Diligence and other KYC policies and procedures
• Concepts, practices and procedures of securities industry and/or banking compliance reviews.
• Rules and regulations of the US PATRIOT Act.
• Experience with investigative techniques and report writing
• Securities industry knowledge and/or financial services industry experience
• 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.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• 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.
• Independently research and resolve issues while working across teams to acquire information.
• Provide a high level of customer service.
• Establish and maintain effective professional working relationships at all levels of the organization.
• Handle highly confidential information professionally and with appropriate discretion.
• Maintain currency in anti-money laundering rules and regulations and compliance examination techniques and best practices.
Educational/Previous Experience Requirements:
• Bachelor’s Degree from a four-year college or university in a related field and two (2) years of experience in AML investigation experience in Securities Industry.
• Any equivalent combination of education, training and/or experience approved by Human Resources.
• CAMS required or ability to obtain within 15 months of employment for CIU associates
Job: Auditing & Compliance
Organization: RJF Risk Management
Title: Analyst AML & Financial Crimes - CIU (seeking EDD experience)
Location: FL-St. Petersburg-Saint Petersburg
Requisition ID: 1803528