Director, Strategy & Planning, Financial Crimes Analytics

Director, Strategy & Planning, Financial Crimes Analytics-2402317

Description

Job Summary

Under limited direction with a high level of autonomy, lead enterprise-level Financial Crimes Management (FCM) technology transformation initiatives.

Partner with Raymond James Technology and FCM stakeholders to design, develop and implement software and data solutions that enable Raymond James to stay at the forefront of Financial Crimes Compliance.

Works with members of the management team to create strategic plans for FCM-related enterprise technology and process enhancements.

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

Performs extensive analysis of identified issues, current processes, and procedures and proposed remediations. Industry thought leader that brings extensive prior experience to financial crimes technology planning, strategy, process re-evaluation and vendor initiatives.

Reporting to the SVP, Financial Crimes Analytics, the Director will partner with Analytics colleagues and Financial Crimes leaders to coordinate data, vendor, and proprietary FCM development initiatives.

Will interact with federal and state regulators, vendors, Model Risk Management (MRM), Audit, Raymond James enterprise technology functions and stakeholders across Financial Crimes Management.

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

• Collaborates with Financial Crimes domain leads, the Risk Project Management Office (PMO), and Technology teams to define multi-year technology investment strategy for Financial Crimes.
• Builds strong working relationships with enterprise technology and executive leadership.
• Develops project plans, prioritization protocols, and cross-domain technology orchestration.
• Coordinates day-to-day activities for analytics, technology, and program management functions.
• Designs and implements a delivery model for multiple FCM divisions and technology partners.
• Works with FCM stakeholders to define requirements, create test plans and implement solutions.
• Ensures cross-functional project execution on budget and within planned timelines.
• Evaluate, enhance, and optimize investigations associated with Anti-Money Laundering (AML) / Counter-Terrorist Financing (CTF) / Sanctions, Fraud, and Elder Financial Exploitation.
• Drafts executive-level presentations outlining the strategic approach to various vendor tools, data acquisition / storage, detection and screening systems and the integration of these applications.
• Documents and distributes project plans, priorities, delivery schedules and potential issues.
• Run multiple cross-enterprise engagements focused on enhancing key components of the Financial Crimes technology stack (e.

g., data, screening, detection, case management, etc.).

• Coaches and mentors staff, identifies training needs, and creates development plans.
• Champion the adoption of machine learning and artificial intelligence across Financial Crimes.
• Lead vendor evaluations (e.g., identification, RFP, Proof-of-Concept, testing, deployment, etc.).
• Interact with C-level / executive management, business, and compliance partners.
• Supports the build out of a comprehensive fraud prevention and detection program.
• Serve as Financial Crimes enterprise data steward leading next-gen data capabilities.
• Runs stand-ups, sprint planning, backlog grooming and retrospectives ensuring task alignment.
• Performs human resource management activities, including identifying performance opportunities, evaluating performance; and interviewing and selecting staff.
• Maintains communication and collaboration across core FCM stakeholder teams (AML Office, Financial Intelligence Unit, Fraud, KYC / Screening, Quality Assurance, etc.).
• Coordinate the enhancement and integration of multiple Financial Crimes surveillance, screening and associated workflow tools across various Raymond James Financial business units and subsidiaries.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of assigned staff.
• Other projects and duties as assigned.

Qualifications

Knowledge of

• Various project management methodologies (Agile, Waterfall, Kanban, Scrum, etc.) and how to successfully support technical teams using a variety of these approaches.
• Widely used Financial Crimes 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.
• Confluence, Azure DevOps, SQL, Alteryx, Qlik, Tableau, Domo, Power BI, Github, Model Op, Snowflake, Amazon Redshift, Azure, and broadly used Financial Crimes vendor applications.
• Financial markets, products, financial advisory function, and investment process.
• Advanced AML / FCM client investigations and higher-risk corporate securities reviews concepts, practices, and procedures.

Skill in

• Organization, delegation, and prioritization in a rapidly changing business environment.
• Preparing and delivering clear, effective, and professional executive-level presentations.
• Strong leadership and interpersonal skills capable of navigating across business units.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Demonstrating strong communication skills in all aspects of role that influence individuals outside of his or her span of control.

Ability to

• Present a clear vision to senior leaders on multi-year planning efforts supporting technology, process re-engineering, orchestration across systems, domains, business units and RJ subsidiaries.
• Channel a genuine love of technology and a passion for data toward innovative technical solutions.
• Build strong working relationships with teams, stakeholders, and senior management.
• Partner with other functional areas to accomplish objectives.
• Identify problems, gather facts, and develop solutions.
• 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.
• Ten (10) 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, consulting OR
• Any equivalent combination of experience, education, and / or training.

Licenses / Certifications

• Project Management Professional (PMP) certification a plus.
• Certified Scrum Master (CSM) a plus.
• Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE) certifications are a plus but not required.

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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