Senior Manager, AML Strategy

5 days ago

St Petersburg, United States Raymond James Financial Incorporated Full time
Job Summary

The Senior Manager, AML Strategy & Planning will contribute to building, planning, and executing the modernization program for Financial Crimes Management (FCM) and Trade Surveillance. You will work under the supervision of the Director of Strategy & Planning. This hands-on role will work with members across the Risk and Compliance organization(s) to identify, define, and solve complex, regulatory-facing problems that enable scale across the enterprise, spanning the areas of data, advanced analytics, operational teams, and oversight functions.

You will leverage your diverse skillset that spans the subject areas of traditional Business Analysis, Product Management, and Project Management disciplines. This multi-faceted role will require successful candidates to frame out the legacy processes succinctly. You will perform an extensive analysis of identified issues and opportunities.You will partner with key leaders to arrive at a strategic solution. Then plan and drive the software and/or data solution implementation that enables Raymond James to stay at the forefront of Financial Crimes Compliance and Trade Surveillance.

Essential Duties and Responsibilities

  • Collaborates with management, various domain leads, the Risk Project Management Office (PMO), and Technology teams to help build, define, and drive a multi-year strategy for FCM and Trade Surveillance.
  • Creates strong working relationships with enterprise technology and functional teams.
  • Works with stakeholders to define requirements, create test plans, and implement solutions.
  • Identifies opportunities to enhance and optimize the investigation process associated with Anti-Money Laundering (AML) / Counter-Terrorist Financing (CTF) / Sanctions, Fraud, Elder Financial Exploitation, and Trade Surveillance.
  • Executes project plans, collates, and reports status to assigned key initiatives.
  • Ensures projects remain on budget and within planned timelines or effectively escalate to ensure proper tradeoffs are met academically.
  • Contributes content to executive-level presentations outlining key components regarding vendor tools, data acquisition/storage, detection and screening systems, and integrating these applications.
  • Assists with documenting and distributing project plans, priorities, delivery schedules, and potential issues.
  • Simultaneously run multiple cross-enterprise engagements focused on enhancing key components of the Financial Crimes and Trade Surveillance technology stack (e.g., data, screening, detection, case management, etc.).
  • Interact with management, functional leads, and business partners as required.
  • Runs stand-ups, sprint planning, backlog grooming, and retrospectives, ensuring task alignment.
  • Coordinate and drive the enhancement and integration of multiple Financial Crimes surveillance, screening, and associated workflow tools across various Raymond James Financial business units and subsidiaries.
  • Based upon annual planning and business prioritization, this individual may experience increased focus on financial crimes in the first year of the role and expand to trade surveillance in subsequent years.
  • Other projects and duties as assigned.
Qualifications:

Knowledge, Skills, and Abilities

Knowledge of
  • General data integration methods, advanced analytics, case management workflow systems, data visualization, and/or process orchestration approaches.
  • Various project management methodologies (Agile, Waterfall, Kanban, Scrum, etc.) and how to successfully support teams using various approaches.
  • Widely used Financial Crimes and Trade Surveillance vendor products focused on case management, surveillance, screening (e.g., sanctions, KYC/customer identification program, negative media, etc.), fraud prevention, SAR/STR filing(s), enhanced due diligence, and related processes.
  • The USA Patriot Act, The Bank Secrecy Act, Federal Reserve SR 11-7 and OCC 2011-12 Supervisory Guidance on Model Risk Management, OCC MRM Comptroller's Handbook, FINRA rule 17-a4.
  • Financial markets, products, financial advisory function, and investment process.
  • Advanced AML/FCM client investigations and higher-risk corporate securities review concepts, practices, and procedures.
Skill in
  • Directly managing Risk & Compliance projects and/or programs.
  • Creating business process flows using Business Process Modeling Notation (BPMN).
  • Preparing and delivering clear, effective, and professional presentations.
  • Strong communication in both written and verbal deliveries.
  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to
  • Work independently as well as collaboratively within a team environment.
  • Build strong working relationships with working teams, key stakeholders, and senior management.
  • Understand, conceptualize, and convey complex business processes with crisp delivery outlining needs versus wants and goals.
  • Attend to detail while maintaining a big-picture orientation.
  • Compartmentalize and context switch from business to technical to program management.
  • Partner with other functional areas to accomplish objectives.
  • Facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed.
  • Multi-task and balance competing priorities in a rapidly changing landscape.
Education/Previous Experience
  • 10-20 years of experience supporting Risk & Compliance functions in a Financial Services or Banking setting.
  • Bachelor's degree (B.A. or B.S.) from a four-year College or university or equivalent experience in Business, Finance, Computer Science, or related fields.
  • An MBA or master's degree with strong academic credentials is a plus.
  • Explicit experience with Anti-Money Laundering (AML), Cyber Investigations/Fraud, Trade Surveillance, enterprise technology, and/or advanced analytics is highly regarded but not required.
  • OR ~
  • Any equivalent combination of experience, education, and/or training.
Licenses/Certifications
  • No FINRA licenses are required.
  • Project Management Professional (PMP) or Certified Business Analyst Professional (CBAP) is a plus.
  • Certified Scrum Master (CSM) or Certified Product Owner (CSPO) are a plus.
  • Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE) certifications are a plus but not required.
Travel Required:
  • Yes, 10% of the Time


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 outcome

•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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