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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 un-reviewed 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.
Essential Duties and Responsibilities:
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.
Maintain and calibrate 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 and communicate to the investigations team as well as structure communications for the Firm-s associates and clients.
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 to drive risk assessments, control reviews, gap analysis, issue management, etc.
Perform other duties and responsibilities as assigned.
Qualifications 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.
Fraud typologies and risk to brokerage products.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Developing and administering Fraud policies.
Analyzing activity documentation to identify irregular transactions.
Identification of controls and how controls are functioning or not functioning
Ingest information from various business groups, developing a responsibility matrix relative to Fraud typologies and roles within the Firm.
Develop strategy to understand the root cause analysis of issues involving fraud risk at the Firm.
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 compliance issues and irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Gather information, identify linkages and trends and apply findings to assignments.
Align Fraud Policies with Fraud Procedures and Work Flows to ensure consistently and infirmity in process as well as provide transparency to the businesses with the Firm.
Collaborate with multiple business units to streamline efforts efficiently to mitigate fraud related events at the Firm.
Contribute and Collaborate with multiple business units on Root Cause Analysis on fraudulent activity at the Firm.
Identify tools and resources that will aide mitigation of fraud at the Firm.
Establish policies and procedures for the Fraud Program.
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; prepare presentations and communicate those presentations to Committees
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.
Educational/Previous Experience Requirements:
Bachelor-s Degree (B.A.) and a minimum of 6 years- related experience preferably in the compliance, securities or banking industry with a focus in anti-money laundering activities. ~or~
Any equivalent combination of education, training and/or experience approved by Human Resources.
CAMS preferred or ability to complete within 6 months
Raymond James Guiding Behaviors
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
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About Raymond James Financial Incorporated
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