Director II, Sanctions & Governance Job at Raymond James (Saint Petersburg)

Job Description

Under limited direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to lead AML- and Financial Crimes Management (FCM), Sanctions-related projects, programs, or processes regarding designing, implementing and optimizing investigations 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 client and corporate securities review initiatives. 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. Regular contact with various departments/branches of Raymond James Financial and C-level executives is required to perform the functions of this job.

Job Responsibility

Acts as Sanctions Subject Matter Expert and provides oversight, review and guidance over complex transactions, deals or issues
Interacts with management and business to raise awareness of sanctions trends, emerging issues and necessary enhancements to the Sanctions Compliance Program
Identifies and escalates material risks and instances of non-adherence by business units
Leads teams to design and execute sanctions programs, monitoring groups or governance office
Fosters awareness of sanctions regulatory requirements, assessing related risks and necessary adjustments to operational aspects to protect the firm
Establishes internal strategies, procedures and processes related to monitoring sanctions regulatory requirements
Evaluate, enhance and optimize investigations associated with Anti-Money Laundering (AML)/Counter-Terrorist Financing (CTF)/Sanctions
Develop policies, standards and procedures, tailored to sanctions investigations of clients, transactions and securities reviews, while in alignment with our corporate policies and standards
Tailor appropriate training modules for Raymond James’ enterprise AML programs
deliver targeted sanctions training, as required, to appropriate staff of subsidiaries and ensure appropriate training participation by all associates of those subsidiaries
Monitor compliance of investigations and governmental reporting
identifying, reporting and ensuring remediation of any related issues
and serve as the primary liaison to RJF business executives on enterprise client investigations and higher-risk corporate securities reviews matters
Demonstrate an understanding of the broader economic sanctions regulations essential for selecting and planning new projects
Analyze investment merits/risks of proposed new toolings and processes
Interact with C-level/executive management, business and compliance partners and financial advisors
Manages, coaches and mentors staff and identifies training needs and creates development plans
Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action
evaluating performance
and interviewing and selecting staff
Plans, assigns, monitors, reviews, evaluates and leads the work of assigned staff
Other projects and duties as assigned

Requirements

Bachelor’s degree (B.A.) from a four-year College or university
Minimum of ten (10) years of experience, preferably in a financial services firm or a consulting firm with projects supporting financial services firms
Sanctions certification required
Certification of AML specialization preferred
Regulatory industry license preferred
Strong knowledge of Sanctions regulatory requirements
Knowledge of financial markets, products, financial advisory function and investment process
Knowledge of Sanctions-related controls
Knowledge of concepts, practices and principles of project management
Skill in preparing and delivering clear, effective, and professional presentations
Skill in demonstrating strong communication skills
Skill in operating standard office equipment and using required software applications
Ability to build strong working relationships with teams, stakeholders, and senior management
Ability to partner with other functional areas to accomplish objectives
Ability to identify problems, gather facts, and develop solutions
Ability to analyze problem/situation to determine needs, wants, and goals
Ability to identify and lead project teams
Ability to facilitate meetings
Ability to attend to detail while maintaining a big picture orientation
Ability to organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels
Ability to keep all appropriate parties up-to-date on decisions, changes, and other relevant information

Nice to have

JD Preferred
Certification of AML specialization preferred
Regulatory industry license preferred

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Director II, Sanctions & Governance

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