Manager, Enhanced Due Diligence (AML

Position: Manager, Enhanced Due Diligence (AML)
** Responsibilities:*
* · Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff.

· Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

· Devise and analyze metrics and prepare reports related to key measurements of AML Know Your Client populations.

· Provide training and mentoring to new and existing Associates.

· Promptly escalate AML risk relevant and critical or reputational risk matters.

· Provide guidance and support in the detection and reporting of suspicious activity.

· Administer policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act.

· Maintain knowledge of best practices in investigative research processes based on sources such as industry groups and information issued by regulatory groups and the United States government.

· Contribute to various AML training modules and communications by providing material on timely subjects, incidents, and other relevant topics as necessary.

· Respond to regulatory inquiries and coordinate with other compliance personnel.

· Maintain currency in laws and regulations pertaining to anti-money laundering compliance.

· Provides guidance to Raymond James Associates regarding AML policies.

· Perform other duties and responsibilities as assigned.

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* Skills:

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* · Concepts, practices, and procedures of 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.

· Administering anti-money laundering policies and procedures.

· Analyzing activity documentation to identify irregular transactions.

· Administering regulatory notifications and filings.

· Planning and scheduling work to meet organizational and regulatory requirements.

· Identifying and applying appropriate compliance monitoring procedures and tests.

· Preparing oral and/or written reports.

· Investigating compliance issues and irregularities.

· Making rule-based and analytical decisions.

· Operating standard office equipment and using required software applications.

· Supervise, coach, and mentor a team of AML Investigation Analysts.

· Gather information, identify linkages and trends, and apply findings to assignments.

· Interpret and apply anti-money laundering regulations and identify and recommend compliance changes as appropriate.

· Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

· Communicate effectively, both orally and in writing.

· Work independently as well as collaboratively within a team environment.

· Provide a high level of customer service.

· Establish and maintain effective working relationships at all levels of the organization.

· Schedule and facilitate team and interdepartmental meetings as needed

· Maintain confidentiality.

** Education/Previous Experience*
* · Bachelor's Degree (B.A.) from a four-year college or university in a related field and a minimum of six (6) years' experience in compliance in the securities or banking industry with a focus on anti-fraud/anti-money laundering activities.

· ~OR ~

· Any equivalent combination of education, training and/or experience approved by Human Resources.

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* Licenses/Certifications:

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* · ACAMS is required or the ability to obtain in one (1) year.