SVP, Enterprise Fraud Risk Management

SVP, Enterprise Fraud Risk Management-2402045

Description

Job Summary

Under limited direction with a high level of autonomy, uses extensive knowledge and skills obtained througheducationandexperience,todevelopandoverseetheenterprisefraudriskprogramandlead Enterprise Financial Crimes Management (FCM)-related programs or processes with regards to designing, implementing, and optimizing preventative and detection controls involving enterprise-level solutions with significant business impact to multiple Raymond James’ subsidiaries.

Works with members of the management team to develop tactical plans for FCM-related enterprise fraud risk review, assessment, and improvement initiatives.

Completes assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to problems or needs.

Performs extensiveanalysisofidentifiedissues,currentprocesses,andprocedures,andproposedremediations. Regular contact with various departments / branches of Raymond James Financial and C-level executives is required to perform the functions of this job.

Essential Duties and Responsibilities

• Develops, reviews, and adjusts the firm’s Fraud Risk Management program, systems, and procedurestoalignwithfluctuatingregulatoryandbusinessenvironmentsinanefforttominimize the firm’s risk exposure while balancing business concerns.
• Evaluate,enhance,andoptimizebothenterpriseandbusiness-unitspecificfraudriskcontrol solutions.
• Developappropriatepolicies,standards,andprocedures,tailoredtotheeffectivemanagementand measurement of fraud risk and controls, while in alignment with our corporate policies and standards.
• EnsureappropriatetrainingmodulesforRaymondJames’enterpriseandbusiness-unitspecific fraud programs are created, reviewed, and delivered to the appropriate audiences;

deliver investigations and reviews training, as required, to appropriate fraud staff of subsidiaries and ensure appropriate FCM training participation by all associates of those subsidiaries.

Design,monitorand,asappropriatedeliver,summarizedmetricreportingwithintheFCMProgram andtoexecutivecommittees;identifying,reporting,andensuringremediationofanyrelatedissues;

and serve as the primary liaison to RJF business executives on enterprise fraud matters.

• Designand,asappropriate,conductfraudriskassessments.
• OverseeEnterpriseRedFlagsProgram.
• Research,recommendandimplementcontrolsandinitiativestoachievestrategicobjectivesas

approvedbytheChiefAML Officer.

• DemonstrateanunderstandingofthebroaderFCM-relatedrisks,controls,issues,andgoals essential for selecting and planning new projects.
• Developsandsponsorstacticstoachievestrategicobjectivesacrossfunctionalgroupsorwithina business group.
• InteractwithC-level / executivemanagement,businessandcompliancepartnersandfinancial advisors.
• Coachesandmentorsstaffandidentifiestrainingneedsandcreatesdevelopmentplans.
• Performshumanresourcemanagementactivities,includingidentifyingperformanceproblemsand approving recommendations for remedial action;

evaluating performance; and interviewing and selecting staff.

• Plans,assigns,monitors,reviews,evaluates,andleadstheworkofassignedstaff.
• Otherprojectsandduties as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

USFraudrisktypologiesforfinancialinstitutions,keydetectionandpreventioncontrols,and applicable regulatory requirements.

Knowledge of foreign risks, controls, and regulatory requirements a plus).

• Concepts,practicesandprinciplesoffraud riskassessmentsandaRedFlags program
• Financialmarkets,products,financialadvisoryfunction,andinvestmentprocess.
• Advancedfraudinvestigationsandreviewsconcepts,practices,andprocedures.

Concepts,practicesandprinciplesofprojectmanagementandpeoplemanagement.

Skill in

• Designing,implementing,andoverseeinganEnterpriseFraudRiskProgram
• Preparinganddeliveringclear,effective,andprofessionalpresentations.
• Demonstratingstrongcommunicationskillsinallaspectsofrole.
• Strategicrelationshipandstakeholdermanagement.

Operatingstandardofficeequipmentandusingrequiredsoftwareapplicationstoproduce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to

• Buildstrongworkingrelationshipswithteams,stakeholders,andseniormanagement.
• Partnerwithotherfunctionalareastoaccomplishobjectives.
• Identifyproblems,gatherfacts,anddevelop solutions.
• Analyzeproblem / situationtodetermineneeds,wants,andgoals.
• Identifyandleadprojectteams,includingplanning,assigning,monitoring,reviewing,and evaluating project activities.
• Facilitatemeetings,ensuringthatallviewpoints,ideasandproblemsare addressed.
• Attendtodetailwhilemaintainingabigpictureorientation.
• Organize,manage,andtrackmultipledetailedtasksandassignmentswithfrequentlychanging priorities and deadlines in a fast-paced work environment.
• Useappropriateinterpersonalstylesandcommunicateeffectively,bothorallyandinwriting,with all organizational levels.

Keepallappropriatepartiesup to dateondecisions,changes,andotherrelevantinformation.

Educational / Previous Experience Requirements

Bachelor’sdegree(B.A.)fromfour-yearcollegeoruniversityandaminimumoffifteen (15)yearsof experience, ten (10) years of which is in fraud management and leadership experience preferably in a financial services firm or a consulting firm with projects supporting financial services firms.

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

Licenses / Certifications

• None required.
• Certification of AML specialization preferred.
• Regulatory industry license preferred.

Raymond James Guiding Behaviors

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.

Risk