VP, Financial Crimes Analytics

VP, Financial Crimes Analytics-2402316

Description

Job Summary

Under limited direction with a high level of autonomy, the Vice President of Financial Crimes Analytics will support the development, optimization, and ongoing maintenance of Raymond James Financial Crimes Management (FCM) models, data visualizations and data initiatives.

Using extensive knowledge and skills obtained through education and experience, support models / tools and technical solutions covering Anti-Money Laundering (AML) transaction monitoring, customer / transaction screening, fraud detection / prevention, emerging risk, customer risk scoring, and elder financial exploitation, among other programs and tools.

Lead multiple teams responsible for designing and implementing enterprise-level Financial Crimes solutions with significant business impact to multiple Raymond James’ subsidiaries.

Works with members of the management team to create strategic and tactical plans for FCM-related enterprise client and corporate initiatives.

Reporting to the SVP, Financial Crimes Analytics, the leader will regularly interact with federal and state regulators, vendors, Model Risk Management (MRM), Audit, Raymond James enterprise technology functions and stakeholders across Financial Crimes Management.

Completes assignments with substantial latitude for autonomous actions or decisions.

Leads extensive technical analysis of identified issues, current processes, and procedures and proposed remediations. 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

• Oversee all phases of the Financial Crimes Analytics model development life cycle including but not limited to : data extraction, transformation & loading, scenario design, development, validation, implementation, above-the-line and below-the-line testing, and ongoing maintenance.
• Develops, reviews, and adjusts the firm’s AML and Financial Crimes models, systems, and data solutions to align with changing regulatory and business environments in an effort to minimize the firm’s risk exposure while balancing business concerns.
• Partner with Enterprise Fraud Risk Management, Cyber Threat Intelligence, and Raymond James Technology teams to create new fraud prevention and surveillance capabilities.
• Evaluate, enhance, improve investigations and surveillance associated with Fraud, Anti-Money Laundering (AML) / Counter-Terrorist Financing and (CTF) / Sanctions.
• Experience supporting technical teams (e.g., developers, program managers, data analysts, etc.) tasked with delivering financial crimes technology transformation initiatives.
• Service provider approach that fosters collaboration and demonstrates a team player mentality
• Lead vendor AML, Fraud, and KYC evaluations, selections, and implementations.
• Actively monitor Financial Crimes Management model performance and typology coverage
• Maintain high development standards and collaboration across FCM Analytics squads
• Run daily stand-ups, sprint planning, work intake prioritization, retrospectives, project planning, technical design sessions and related team and stakeholder meetings.
• Demonstrate a deep understanding of Raymond James financial crimes technology stack including, but not limited to data sources and storage, systems / data architecture, vendor tools, and the orchestration opportunities across the broader FCM technology ecosystem.
• Lead Financial Crimes technology modernization initiatives including vendor replacement, scenario transition, and process re-engineering activities.
• Interact with C-level / executives, business and compliance partners and financial advisors.
• Coaches and mentors staff, identifies training needs and creates development plans.
• Performs human resource management activities, including identifying performance opportunities and approving recommendations for remedial action, interviewing, and selecting staff.
• Research, recommend and implement investigations and initiatives to achieve strategic objectives as defined by the Chief AML Officer.
• Support FCM Emerging Risk program data mining, exploration, and testing initiatives
• Plans, assigns, monitors, reviews, evaluates, and leads the work of assigned staff.
• Other projects and duties as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

• 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.
• Python, (Pandas, statsmodel, plotly etc.) SQL, Alteryx, Qlik, Tableau, Domo, PowerBI, Github, Data Build Tool (dbt), Model Op, Snowflake, Azure, AWS, Redshift, Confluence, Azure DevOps
• Financial markets, products, financial advisory function, and investment process.
• Advanced AML / FCM client investigations and higher-risk corporate securities reviews concepts, practices, and procedures.
• Concepts, principles, and best practices of agile project / program 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.
• Articulating technical concepts in a way that is widely consumable and understood by non-technologists and senior leaders
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to

• Channel a genuine love of technology and a passion for data toward innovative technical solutions that protect Raymond James and its clients.
• Build strong working relationships with staff, stakeholders, and senior management.
• Navigate competing priorities in a rapidly changing landscape leveraging software / tools
• Capable of context switching from technical analysis to program management and execution.
• Lead multiple technical functions with cross-enterprise responsibility in an agile environment.
• 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 updated on decisions, changes, and other relevant information.

Education / Previous Experience

• Bachelor’s degree (B.A.) from a four-year College or university or equivalent experience in Business, Finance, Computer Science, or related fields
• MBA or master’s degree with strong academic credentials preferred
• Twelve (12) or more years’ experience supporting technical teams in Anti-Money Laundering (AML) compliance, Cyber Investigations / Fraud, enterprise technology and / or analytics in financial services, banking, asset management, FinTech, or consulting OR
• Any equivalent combination of experience, education, and / or training.

Licenses / Certifications

• Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE) certifications preferred.
• FINRA securities registrations (Series 7, 63, 9 / 10, 24, SIE, etc.) preferred.

Travel Required

Yes, 10% of the time

Raymond James Guiding BehaviorsAt 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 firmAt 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.

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