Job Description Summary

Job Description

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

• Strong knowledge of Sanctions regulatory requirements.
• Financial markets, products, financial advisory function and investment process.
• Sanctions-related controls
• Concepts, practices and principles of project management.

Skill in

• Preparing and delivering clear, effective, and professional presentations.
• Demonstrating strong communication skills in all aspects of the role that influence individuals outside of his or her span of control.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to

• Build strong working relationships with teams, stakeholders, and senior management.
• Partner with other functional areas to accomplish objectives.
• Identify problems, gather facts, and develop solutions.
• Analyze problem/situation to determine needs, wants, and goals.
• Identify and lead project teams, including planning, assigning, monitoring, reviewing, and evaluating project activities.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

Education/Previous Experience

• Bachelor’s degree (B.A.) from a four-year College or university and a minimum of ten (10) years of experience, preferably in a financial services firm or a consulting firm with projects supporting financial services firms. JD Preferred
• OR
• Any equivalent combination of experience, education, and/or training.

Licenses/Certifications

• Sanctions certification required.
• Certification of AML specialization preferred.
• Regulatory industry license preferred.

Travel Required:

• Yes, 20 % of the Time

Education

Bachelor’s: Business Administration, Bachelor’s: Finance, Bachelor’s (Required)

Work Experience

Manager Experience - 10 to 15 years

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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.