Director II, Sanctions

AML- And Financial Crimes Management Lead

Under limited direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to lead AML- and Financial Crimes Management (FCM), Sanctions-related projects, programs, or processes regarding designing, implementing and optimizing investigations involving enterprise-level solutions with significant business impact to multiple Raymond James' subsidiaries. Works with members of the management team to develop tactical plans for FCM-related enterprise client and corporate securities review initiatives. Completes assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to problems or needs. Performs extensive analysis of identified issues, current processes and procedures and proposed remediations. Regular contact with various departments / branches of Raymond James Financial and C-level executives is required to perform the functions of this job.

Essential Duties and Responsibilities

• Acts as Sanctions Subject Matter Expert and provides oversight, review and guidance over complex transactions, deals or issues.
• Interacts with management and business to raise awareness of sanctions trends, emerging issues and necessary enhancements to the Sanctions Compliance Program.
• Identifies and escalates material risks and instances of non-adherence by business units.
• Leads teams to design and execute sanctions programs, monitoring groups or governance office.
• Fosters awareness of sanctions regulatory requirements, assessing related risks and necessary adjustments to operational aspects to protect the firm.
• Establishes internal strategies, procedures and processes related to monitoring sanctions regulatory requirements.
• Evaluate, enhance and optimize investigations associated with Anti-Money Laundering (AML) / Counter-Terrorist Financing (CTF) / Sanctions.
• Develop policies, standards and procedures, tailored to sanctions investigations of clients, transactions and securities reviews, while in alignment with our corporate policies and standards.
• Tailor appropriate training modules for Raymond James' enterprise AML programs; deliver targeted sanctions training, as required, to appropriate staff of subsidiaries and ensure appropriate training participation by all associates of those subsidiaries.
• Monitor compliance of investigations and governmental reporting; identifying, reporting and ensuring remediation of any related issues; and serve as the primary liaison to RJF business executives on enterprise client investigations and higher-risk corporate securities reviews matters.
• Demonstrate an understanding of the broader economic sanctions regulations essential for selecting and planning new projects.
• Analyze investment merits / risks of proposed new toolings and processes.
• Interact with C-level / executive management, business and compliance partners and financial advisors.
• Manages, coaches and mentors staff and identifies training needs and creates development plans.
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates and leads the work of assigned staff.
• Other projects and duties as assigned.

Knowledge of

Skill in

Ability to

Education / Previous Experience

Licenses / Certifications

Travel Required :