Director, Quality Assurance & Control - AML & Financial Crimes Management

Director Of Quality Assurance & Control

The Director of Quality Assurance & Control covering Anti-Money Laundering (AML) & Financial Crimes Management (FCM) is responsible for leading a team of managers who oversee Quality Assurance (QA) and Quality Control (QC) professionals reviewing and challenging work products related to AML, anti-fraud, and economic sanctions compliance. This role ensures that both preventive (QA) and detective (QC) mechanisms are in place to uphold the integrity, accuracy, and regulatory compliance of the financial crimes-related activities performed by the RJF AML / FCM shared services organization. The Director will drive strategic initiatives, promote operational excellence, and serve as a key liaison between QA / QC teams and RJF AML / FCM's senior leadership team.

Essential Duties and Responsibilities :

• Lead and develop a team of QA / QC managers across AML, fraud, and economic sanctions domains.
• Define and implement a comprehensive QA / QC framework that supports both proactive process improvement and reactive error detection.
• Align QA / QC programs with regulatory expectations, internal policies, and industry best practices.
• Establish standards and procedures to ensure that work products are developed correctly from the outset.
• Collaborate with RJF's AML / FCM shared service organization to embed quality into processes and controls.
• Provide feedback loops to improve training, guidance, and system design.
• Oversee sampling and testing of completed work products to identify errors, inconsistencies, or non-compliance.
• Ensure timely remediation of identified issues and track corrective actions to resolution.
• Monitor performance metrics and error rates to inform risk-based adjustments.
• Present QA / QC outcomes, trends, and strategic recommendations to senior leadership and governance committees.
• Maintain documentation of QA / QC methodologies, scoring frameworks, and escalation protocols.
• Support internal and external audits and regulatory examinations.

Knowledge of :

Skill in :

Ability to :

Licenses / Certifications :

Travel Required :

Education :

Bachelor's (Required)

Work Experience :

Manager Experience - 10 to 15 years

Certifications :

Certified Anti-Money Laundering Specialist (ACAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)

Workstyle : Hybrid

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

At 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.