AML & Financial Crimes, Senior Analyst - Forensic Investigations (Remote or Hybrid)

4 weeks ago

St Petersburg, United States Raymond James Full time
AML & Financial Crimes, Senior Analyst - Forensic Investigations (Remote or Hybrid)-2401932

Description

Job Summary

Under limited supervision, uses specialized knowledge and skills in securities and/or banking industrycompliance obtained through experience, specialized training and/or certification to monitor andinvestigate potentially suspicious activity, including money movements and trades.Ensure compliance with AML rules and regulations through the filing of Suspicious Activity Reports (SARs) and processing of risky relationships, with escalation to business leaders for client retention decisions as deemed appropriate. Resolves or recommends solutions to complex problems. Extensive contact with internalcustomers is required to identify, research and resolve problems.

Essential Duties and Responsibilities

• Investigate potentially suspicious activity that may arise from account surveillance, branchescalations, negative news matches, regulatory investigations, and matters otherwise escalated to the AML Group by other AML teams, the Business, Compliance, Legal, Risk or other Firm divisions where account activity or client-related negative news is at issue.

• Conduct appropriate due diligence related to the potential suspicious activity through the review ofclient background information, review of securities transactions, and fund movements as necessary.

• Make decisions as to whether activity is deemed suspicious, prepare and file SARs and/or STRs as needed.

• Conduct due diligence searches in various third party and internal databases.

• Perform analysis and reviews utilizing internal and third-party research tools.

• Administers policies and procedures to ensure compliance with regulations related to moneylaundering included in the USA PATRIOT Act.

• Analyze negative news escalations and work with business partners in relationship termination and/or risk mitigation processes

• Monitor regulatory developments and industry trends to facilitate incorporation into the Firms’ AMLprogram.

• Develops documentation related to AML issues to enhance corporate policies.

• Informs senior compliance management about issues that may involve rule violations or potentialliability.

• Maintains currency in laws and regulations pertaining to anti-money laundering compliance.

• Performs other duties and responsibilities as assigned.

Qualifications

Raymond James Guiding BehaviorsAt 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 firmAt 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.

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