BBF Wealth
Senior Manager, AML FCM Financial Intelligence Unit
BBF Wealth, Florida, New York, United States
Senior Manager, AML FCM Financial Intelligence Unit page is loaded## Senior Manager, AML FCM Financial Intelligence Unitlocations:
Saint Petersburg, Florida - United Statestime type:
Full timeposted on:
Posted 2 Days Agojob requisition id:
R-0008348**Job Description Summary****Job Description**The Senior Manager, AML uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry to administer and manage an assigned AML & Financial Crimes function. Ensures monitoring and internal controls are in place to manage compliance risk in accordance with Raymond James policies, standards and guidelines. Provides oversight for change management initiatives. Leads major projects, programs or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Executes on the responsibilities delegated by the Chief AML Officer and reports information regarding the unit’s performance, including any issues that may arise.**Essential Duties and Responsibilities*** Manages a team to design and execute various AML programs, monitoring groups or governance office* Perform supervisory activities including: identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting staff.* Plan, assign, monitor, review, evaluate and lead the work of others.* Ensure compliance with Raymond James’ policies, operating procedures, and other requirements through ongoing monitoring, management, and review of the governance framework.* Develop and implement adequate internal controls to ensure compliance with AML rules and timely detection of suspicious activity.* Evaluate the AML training modules, and make recommendations for improvement as necessary.* Implement corrective actions to promptly address any audit or regulatory findings.* Report progress on corrective actions to Senior Management and the Board.* Overseeimplementation of the automated AML system and ensure continuous improvements to existing processes.* Train associates and manage resources for AML liaisons in various departments, including monitoring roles and responsibilities.* Create reports to summarize and explain risk assessment results to Senior Management, Risk, and other key stakeholder groups. Ensure responses and remediation actions are promptly reported and executed.* Maintain up-to-date knowledge of policies and procedures, industry best practices, and regulatory initiatives.* Performing other duties as assigned.**Knowledge of*** BSA, AML, sanctions-related laws, regulations and guidance.* CIP/CDD/EDD, sanctions, financial intelligence, transaction monitoring and SARs, including associated risks and controls.* Governance, compliance, legal, internal and external auditing environments, practices and procedures for broker/dealers, investment and financial planning industries, and related processes and procedures.* Regulatory and compliance environment.**Skill in*** Analysis with the ability to solve complex problems and execute action plans.* Prepare and conduct presentations with senior leaders within the organization.* Written and verbal communication.**Ability to*** Understand multi-dimensional operational problems and develop innovative and practical solutions to deliver superior results.* Develop sound policies, standards, guidelines and procedures based on in-depth knowledge of regulatory requirements, as well as Raymond James’ services, products and strategic visions.* Manage, lead, and mentor a team.* Analyze and communicate regulatory concepts to different target audiences.* Optimize work processes, multi-task, and handle multiple projects with demonstrated success.* Implement solutions while collaborating with multiple units throughout Raymond James.* Manage and prioritize multiple efforts from initiation to execution.**Licenses/Certifications*** Certified Anti-Money Laundering Specialist (CAMS) Certification (preferred) or ability to obtain within twelve months of hire.**Travel Required:*** Yes, 10 % of the Time**Education**Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required)**Work Experience**General Experience – 10 to 15 years, Manager Experience - 6 to 10 years**Certifications**Certified Anti-Money Laundering Specialist (CAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)**Travel**Less than 25%**Workstyle**HybridAt 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.Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch.to stay up to date on career opportunities that may be a good fit for you.Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive.As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow.Our people-first culture is outlined in our . Check it out to see why many choose to work at Raymond James – and why they stay. #J-18808-Ljbffr
Saint Petersburg, Florida - United Statestime type:
Full timeposted on:
Posted 2 Days Agojob requisition id:
R-0008348**Job Description Summary****Job Description**The Senior Manager, AML uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry to administer and manage an assigned AML & Financial Crimes function. Ensures monitoring and internal controls are in place to manage compliance risk in accordance with Raymond James policies, standards and guidelines. Provides oversight for change management initiatives. Leads major projects, programs or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Executes on the responsibilities delegated by the Chief AML Officer and reports information regarding the unit’s performance, including any issues that may arise.**Essential Duties and Responsibilities*** Manages a team to design and execute various AML programs, monitoring groups or governance office* Perform supervisory activities including: identifying performance problems, seeking guidance for remedial action, reviewing performance, and participating in interviewing and selecting staff.* Plan, assign, monitor, review, evaluate and lead the work of others.* Ensure compliance with Raymond James’ policies, operating procedures, and other requirements through ongoing monitoring, management, and review of the governance framework.* Develop and implement adequate internal controls to ensure compliance with AML rules and timely detection of suspicious activity.* Evaluate the AML training modules, and make recommendations for improvement as necessary.* Implement corrective actions to promptly address any audit or regulatory findings.* Report progress on corrective actions to Senior Management and the Board.* Overseeimplementation of the automated AML system and ensure continuous improvements to existing processes.* Train associates and manage resources for AML liaisons in various departments, including monitoring roles and responsibilities.* Create reports to summarize and explain risk assessment results to Senior Management, Risk, and other key stakeholder groups. Ensure responses and remediation actions are promptly reported and executed.* Maintain up-to-date knowledge of policies and procedures, industry best practices, and regulatory initiatives.* Performing other duties as assigned.**Knowledge of*** BSA, AML, sanctions-related laws, regulations and guidance.* CIP/CDD/EDD, sanctions, financial intelligence, transaction monitoring and SARs, including associated risks and controls.* Governance, compliance, legal, internal and external auditing environments, practices and procedures for broker/dealers, investment and financial planning industries, and related processes and procedures.* Regulatory and compliance environment.**Skill in*** Analysis with the ability to solve complex problems and execute action plans.* Prepare and conduct presentations with senior leaders within the organization.* Written and verbal communication.**Ability to*** Understand multi-dimensional operational problems and develop innovative and practical solutions to deliver superior results.* Develop sound policies, standards, guidelines and procedures based on in-depth knowledge of regulatory requirements, as well as Raymond James’ services, products and strategic visions.* Manage, lead, and mentor a team.* Analyze and communicate regulatory concepts to different target audiences.* Optimize work processes, multi-task, and handle multiple projects with demonstrated success.* Implement solutions while collaborating with multiple units throughout Raymond James.* Manage and prioritize multiple efforts from initiation to execution.**Licenses/Certifications*** Certified Anti-Money Laundering Specialist (CAMS) Certification (preferred) or ability to obtain within twelve months of hire.**Travel Required:*** Yes, 10 % of the Time**Education**Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required)**Work Experience**General Experience – 10 to 15 years, Manager Experience - 6 to 10 years**Certifications**Certified Anti-Money Laundering Specialist (CAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)**Travel**Less than 25%**Workstyle**HybridAt 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.Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch.to stay up to date on career opportunities that may be a good fit for you.Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive.As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow.Our people-first culture is outlined in our . Check it out to see why many choose to work at Raymond James – and why they stay. #J-18808-Ljbffr