Team Lead, AML FCM Client Intelligence Unit

Overview

Hybrid work model: 2–3 days per week at the corporate office in Saint Petersburg, FL. As team lead, you’ll leverage extensive knowledge in securities, banking, and compliance to implement KYC, CIP, CDD, EDD, and ensure adherence to AML rules and regulations. The role leads complex projects, serves as a subject‑matter expert for various business lines, and maintains extensive contact with internal customers to identify, research, and resolve issues.

• Serve as the primary point of contact for business unit escalations, questions, and advisor issues.
• Coach and mentor new and existing analysts.
• Devises and analyzes metrics, preparing reports on key measurements of AML customer onboarding activities.
• Assist with various projects and act as the main point of contact for outside consultants.
• Serve as the primary back‑up for the CIU Team Leads, providing informal guidance to CIU team members.
• Prepare and lead AML CIU trainings for other business units within the firm.
• Draft and administer policies and procedures to ensure compliance with money‑laundering regulations, including the USA PATRIOT Act.
• Monitor regulatory developments and industry trends to incorporate into the firm’s AML program.
• Develop documentation related to AML issues to enhance corporate policies.
• Maintain knowledge of best practices in investigative research processes using a variety of sources.
• Respond to regulatory inquiries and coordinate with other compliance personnel.
• Maintain currency in AML laws and regulations.
• Provide guidance to associates regarding AML policies.
• Perform duties professionally, addressing and resolving conflicts to facilitate positive working relationships between field and home office.
• Perform other duties and responsibilities as assigned.

• CDD, EDD, OFAC, sanctions and other KYC policies and procedures.
• Concepts, practices, and procedures of the securities industry and/or banking compliance reviews.
• Rules and regulations of the USA PATRIOT Act.
• Fundamental investment concepts, practices, and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.

• Administer AML policies and procedures.
• Analyze client documentation.
• Plan and schedule work to meet regulatory requirements.
• Identify and apply appropriate client monitoring procedures and tests.
• Prepare oral and/or written reports.
• Draft policies and procedures.
• Investigate client issues and irregularities.
• Make rule‑based and analytical decisions.
• Operate standard office equipment and use required software applications.

• Provide guidance to CIU analysts.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Interpret and apply AML regulations to identify and recommend compliance changes.
• Work under pressure on multiple tasks concurrently and meet deadlines in a fast‑paced environment.
• Communicate effectively, both orally and in writing.
• Search and resolve issues independently while collaborating across teams.
• Work independently and collaboratively within a team environment.
• Provide a high level of customer service.
• Establish and maintain effective professional relationships at all levels.
• Handle highly confidential information with discretion.
• Maintain currency in AML rules, regulations, and best practices.

• CAMS (Certified Anti‑Money Laundering Specialist) required; if not currently certified: obtain within 18 months; if one year or more AML experience: obtain within 12 months.

• 10% of the time (Less than 25% overall).

Bachelor’s degree in Business Administration.

General experience of 3–6 years.

Certified Anti‑Money Laundering Specialist (CAMS) – Association of Certified Anti‑Money Laundering Specialists (ACAMS).

Hybrid.

At 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 firm.

At 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.

• Mid‑Senior level

• Full‑time

• Finance and Sales