SVP, AML & Financial Crimes Management, Leader of Model Optimization

Job Summary

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)-related model optimization and business intelligence programs or processes in regard to designing, implementing and optimizing surveillance systems and models and business intelligence tools. All efforts will involve enterprise-level solutions with significant business impact to multiple Raymond James’ subsidiaries. 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 remediation. Regular contact with various departments/branches of Raymond James Financial and C-level executives, as well as multiple regulators, is required to perform the functions of this job.

Essential Duties and Responsibilities

• Develop, review, and adjust the firm’s AML and Financial Crimes analytical and business intelligence programs, systems and procedures to align with fluctuating regulatory and business environments in an effort to minimize the firm’s risk exposure while balancing business concerns.

• Evaluate, enhance and optimize analytical and business intelligence solutions associated with Anti-Money Laundering (AML)/Counter-Terrorist Financing (CTF)/Sanctions.

• Develop policies, standards and procedures, tailored to overall and govern AML/FCM models and solutions, while in alignment with our corporate policies and standards.

• Tailor appropriate training modules for Raymond James’ enterprise AML programs; deliver relevant training, as required, to appropriate AML staff of subsidiaries and ensure appropriate FCM analytical training participation by all associates of those subsidiaries.

• Monitor compliance of enterprise model optimization and business intelligence standards with FCM Program; identifying, reporting and ensuring remediation of any related issues; and serve as the primary liaison to RJF business executives and regulators on enterprise model optimization matters.

• Research, recommend and implement initiatives to achieve strategic objectives as defined by the Chief AML Officer.

• Demonstrate an understanding of the broader second-line analytical solutions, issues and goals essential for selecting and planning new projects.

• Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.

• Establishes and implements operating policy for the enterprise AML/FCM group and appropriate business subsidiaries in conjunction with members of the company’s leadership team.

• Interact with C-level/executive management, business and compliance partners and financial advisors.

• 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

• US Anti-Money Laundering and Sanctions regulatory requirements. (Knowledge of foreign AML and Sanctions regulatory requirements a plus).

• Financial markets, products, financial advisory function and investment process.

• Advanced AML/FCM analytics, modeling and business intelligence concepts, practices, procedures, and solutions.

• 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 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 four-year College or university and a minimum of twelve (12) years of experience preferably in a financial services firm or a consulting firm with projects supporting financial services firms. ~or~

• Any equivalent combination of experience, education, and/or training.

Licenses/Certifications

• None required.

• Certification of AML specialization preferred.

• Regulatory industry license preferred.

Travel Required

• Yes, less than 10% of the time.

Schedule: Full-time

Shift: Day Job

Travel: Yes, 20 % of the Time