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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
9/4/2024
Job Description
Job Summary
Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to monitor and investigate 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 internal customers is required to identify, research and resolve problems.
Essential Duties and Responsibilities
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of
Concepts, practices and procedures of securities industry and/or banking compliance reviews.
Rules and regulations of the USA PATRIOT Act.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Skill in
Administering anti-money laundering policies and procedures.
Analyzing customer profiles and transactional activity to identify suspicious activity.
Communicating findings and risks to senior management.
Planning and scheduling work to meet regulatory organizational and regulatory requirements.
Identifying and applying appropriate compliance monitoring procedures and tests.
Making rule-based and analytical decisions.
Ability to
Apply a curious mind to research, gather information, identify linkages and trends and apply findings to assignments.
Interpret and apply anti-money laundering regulations and identify and recommend compliancechanges as appropriate.
Stay organized while working on multiple tasks to meet strict deadlines in a fast-paced work environment.
Communicate effectively, both orally and in writing.
Work independently as well as collaboratively within a team environment.
Provide a high level of customer service.
Establish and maintain effective professional working relationships at all levels of the organization.
Maintain confidentiality.
Maintain currency in anti-money laundering rules and regulations and compliance examinationtechniques and best practices.
Educational/Previous Experience Requirements
Bachelor%26rsquos Degree from a four-year college or university in a related field and 3-5 years AML investigatory and analysis experience.
OR ~
Any equivalent combination of experience, education and/or training approved by Human Resources.
Licenses/Certifications
CAMS certification required or ability to obtain within 6 months of employment.
Travel
None required.
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
