Job Summary :
Under limited supervision, uses extensive knowledge and skills in securities, the banking industry, and / or compliance obtained through experience, specialized training and / or certification to implement Know Your Client ( KYC ), Customer Identification Program ( CIP ), Customer Due Diligence ( CDD ), Enhanced Due Diligence ( EDD ), as well as requirements in compliance and Anti-Money Laundering ( AML ) rules and regulations.
EDD reviews will be specialized, to include cannabis, MSB, gambling and non-retail brokerage jurisdiction review types. Leads projects of significant scope and complexity and serves as a Subject Matter Expert to various business lines.
Works independently on difficult assignments that are broad in nature and provides comprehensive solutions to complex problems.
Maintains extensive contact with internal customers to identify, research and resolve problems.
Essential Duties and Responsibilities :
- Serves as the primary point of contact for business unit escalations, questions and advisor issues.
- Coaches and mentors new and existing analysts.
- Devises and analyzes metrics, as well as prepares reports related to key measurements of AML customer onboarding activities.
- Assists with various projects and acts as the main point of contact for outside consultants.
- Serves as the primary back-up for the CIU Team Leads and provides informal guidance to CIU team members.
- Prepares and leads AML CIU trainings for other business units within the firm.
- Drafts and administers policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act.
- Monitors regulatory developments and industry trends to incorporate into the firm’s AML program.
- Develops documentation related to AML issues to enhance corporate policies.
- Maintains knowledge of best practices in investigative research processes using various sources such as industry groups, information issued by regulatory groups, and the United States government.
- Responds to regulatory inquiries and coordinates with other compliance personnel.
- Maintains currency in laws and regulations pertaining to AML compliance.
- Provides guidance to Raymond James Associates regarding AML policies.
- Perform duties in a highly professional manner to address and resolve conflicts or issues to facilitate a positive working relationship between the field and home office.
- Perform other duties and responsibilities as assigned.
Qualifications
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.
Compliance