Senior Manager, AML FCM Financial Intelligence Unit

Senior Manager, AML

The Senior Manager, AML uses extensive knowledge and skills obtained through education, experience, specialized training and / or certification in the securities or banking industry to administer and manage an assigned AML & Financial Crimes function. Ensures monitoring and internal controls are in place to manage compliance risk in accordance with Raymond James policies, standards and guidelines. Provides oversight for change management initiatives. Leads major projects, programs or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Executes on the responsibilities delegated by the Chief AML Officer and reports information regarding the unit's performance, including any issues that may arise.

Essential Duties And Responsibilities

• Manages a team to design and execute various AML programs, monitoring groups or governance office
• Perform supervisory activities including : identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting staff.
• Plan, assign, monitor, review, evaluate and lead the work of others.
• Ensure compliance with Raymond James' policies, operating procedures, and other requirements through ongoing monitoring, management, and review of the governance framework.
• Develop and implement adequate internal controls to ensure compliance with AML rules and timely detection of suspicious activity.
• Evaluate the AML training modules, and make recommendations for improvement as necessary.
• Implement corrective actions to promptly address any audit or regulatory findings.
• Report progress on corrective actions to Senior Management and the Board.
• Oversee implementation of the automated AML system and ensure continuous improvements to existing processes.
• Train associates and manage resources for AML liaisons in various departments, including monitoring roles and responsibilities.
• Create reports to summarize and explain risk assessment results to Senior Management, Risk, and other key stakeholder groups. Ensure responses and remediation actions are promptly reported and executed.
• Maintain up-to-date knowledge of policies and procedures, industry best practices, and regulatory initiatives.
• Performing other duties as assigned.

Knowledge Of

Skill In

Ability To

Licenses / Certifications

Travel Required :

Education

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

Work Experience

Manager Experience - 6 to 10 years

Certifications

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

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.