Hybrid Manager, Sanctions Governance en Raymond James

Job Summary:

The Sanctions Governance Manger is responsible for supporting the Chief Sanctions Officer, Sanctions Governance Sr. Manager in the oversight, development and maintenance of the Sanctions Compliance Program. The Sanctions Governance Manager will also be responsible for providing advisory services to Lines of Business and other key functional areas across Raymond James (e.g., new products and services, business ventures, remediation activities, knowledge management, support for mergers and acquisitions, examination support).

The individual should have a minimum of six (6) years of relevant OFAC/Sanctions with broker-dealer operations experience.

Essential Duties and Responsibilities:

•             Performs ongoing operational processes involving sanctions controls to ensure compliance with policies and regulatory requirements

•             Ensures adherence to Raymond James policies and procedures

•             Monitors and maintains oversight of efficacy of screening controls

•             Provides advisory services to Business Units and Affiliates

•             Delivery of program reports to summarize and communicate risk exposure results to relevant stakeholders

•             Performs Level 3 alert review of escalated matches

•             Participates in special projects

Knowledge, Skills, and Abilities:

•             Experience in AML, Sanctions, and/or Fraud systems and controls

•             Understanding of OFAC/Sanctions related laws, regulations and guidance with the ability to analyze and communicate regulatory concepts to different target audiences

•             Understanding of governance, compliance, legal, internal and external auditing environments, practices and procedures for broker/dealer, investment and financial planning industries, and a strong working knowledge of related processes and procedures

•             Strong interpersonal, written and verbal communications skills

Educational/Previous Experience Requirements:

•             Bachelor’s Degree required; Legal Degree preferred

~and~

•             Minimum of six (6) years of experience in OFAC/Sanctions with Broker-dealer operations related position preferred.

Licenses/Certifications:

•             Certified Anti-Money Laundering Specialist (CAMS) Sanctions Certification (preferred)

•             Certified Sanctions Specialist CSS (preferred)