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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Experience:
Not Specified -
Date Posted:
11/19/2024
Job Description
Job Summary
In this role, you will work under intermittent supervision, utilizing your extensive knowledge and skills gained through education and experience in the securities and banking industries. Your primary responsibility will be to help build, plan, and execute the modernization program for Financial Crimes Management (FCM) and Compliance Surveillance. You will collaborate with members of the Risk and Compliance organizations to identify, define, and address complex regulatory challenges that affect the entire enterprise. This will involve focusing on areas such as data, advanced analytics, operational teams, and oversight functions. You will analyze legacy processes, identify issues and opportunities, and conduct thorough analyses. Additionally, you will partner with key leaders to develop strategic solutions that facilitate the implementation of software and data solutions. This effort will ensure that Raymond James remains a leader in Financial Crimes Compliance and Compliance 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 Compliance 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 Compliance Surveillance.
- Executes on project plans, collates, and reports status to assigned key initiatives.
- Contributes content to executive-level presentations outlining key components regarding vendor tools, data acquisition/storage, detection and screening systems, and the integration of these applications.
- Assists with documenting and distributing project plans, priorities, delivery schedules, and potential issues.
- Simultaneously runs multiple cross-enterprise engagements focused on enhancing key components of the Financial Crimes and Compliance 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.
- Performs other duties and responsibilities as assigned.
Job Requirements
Knowledge, Skills, and Abilities
Advanced 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 a variety of these 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.
- AML/FCM client investigations and higher-risk corporate securities review concepts, practices, and procedures.
Skill in
- Directly managing Risk %26amp 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 that all viewpoints, ideas, and problems are addressed.
- Multi-task and balance competing priorities in a rapidly changing landscape.
Educational/Previous Experience Requirements
Education/Previous Experience
- Bachelor%26rsquos Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.
~or~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
- None Required.
- Additional licenses/certifications demonstrating the candidate%26rsquos knowledge/expertise in industry regulation and concepts preferred.
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
