Manager, AML FCM Bank and Trust

Raymond James Financial, Inc. • Denver, CO • 10h ago

Under limited direction, uses extensive knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training, and/or certification to develop, administer, and enforce Bank and Trust Anti-Money laundering rules and regulations. Leads projects with significant scope and impact. Works independently on difficult assignments that are broad in nature, requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Results are evaluated at agreed-upon milestones for effectiveness in achieving specified results. Extensive contact with internal customers is required to identify, research, analyze, and resolve complex issues.

This Manager is responsible for overseeing AML Operations, Support Service Agreement Compliance and Business Line Advisory.

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 processes and 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.

Alert Handling review and approval.

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 current in laws and regulations pertaining to Anti-Money laundering compliance.

Provides guidance to Raymond James Associates and Business Lines regarding AML policies, procedures and processes.

Perform other duties and responsibilities as assigned.

Skills:

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.

Licenses/Certifications:

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

Similar Jobs

Accountant 3-Fin

Oracle • Denver, CO • 1h ago

Finance, Accounting & Banking

Job Description The Corporate Accounting team, which supports the Chief Accounting Officers organization, amongst others, is a key part of Oracle's World Class Finance organization. This progressive and innovative team c...

1h ago

Go to Apply

Account Manager, Insurance & Retirement

Janus Henderson Investors • Denver, CO • 3h ago

Finance, Accounting & Banking

Why work for us? A career at Janus Henderson is more than a job, it's about investing in a brighter future together . Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes throu...

3h ago

Go to Apply

School Safety Accountant I

State of Colorado • Lakewood, CO • 5h ago

Finance, Accounting & Banking

School Safety Accountant I Print ( https://www.governmentjobs.com/careers/colorado/jobs/newprint/5039946 ) Apply ? School Safety Accountant I Salary $58,872.00 - $94,188.00 Annually Location Lakewood, CO Job Type Full Ti...

5h ago

Go to Apply

Senior Economist (Rate/Financial Analyst IV): DORA/Public Utilities Commission - Hybrid

State of Colorado • Denver, CO • 5h ago

Finance, Accounting & Banking

Senior Economist (Rate/Financial Analyst IV): DORA/Public Utilities Commission - Hybrid Print ( https://www.governmentjobs.com/careers/colorado/jobs/newprint/5038010 ) Apply ? Senior Economist (Rate/Financial Analyst IV)...

5h ago

Go to Apply

Global Finance Director - Remote

CBRE • Denver, CO • 6h ago

Finance, Accounting & Banking

Global Finance Director - Remote Job ID 233748 Posted 13-Aug-2025 Service line GWS Segment Role @type Full-time Areas of Interest Accounting/Finance, Administrative, Data & Analytics, Project Management Location(s) R...

6h ago

Go to Apply

Finance Manager (IC)

Arrow Electronics • Centennial, CO • 6h ago

Finance, Accounting & Banking

Position: Finance Manager (IC) Job Description: What You Will Be Doing: The Accounting/Finance Manager will partner with all levels of the business to deliver the highest quality financial analysis and support to assist...

6h ago

Go to Apply

Analyst 3, Finance

Comcast • Englewood, CO • 6h ago

Finance, Accounting & Banking

Comcast brings together the best in media and technology. We drive innovation to create the world's best entertainment and online experiences. As a Fortune 50 leader, we set the pace in a variety of innovative and fascin...

6h ago

Go to Apply

Claims Specialist Sr , Professional Liability (MEDMAL)

Sedgwick • Denver, CO • 6h ago

Finance, Accounting & Banking

By joining Sedgwick, you'll be part of something truly meaningful. It's what our 33,000 colleagues do every day for people around the world who are facing the unexpected. We invite you to grow your career with us, experi...

6h ago

Go to Apply

Manager, International Tax

Deloitte • Denver, CO • 6h ago

Finance, Accounting & Banking

Are you a strategic thinker with first-hand knowledge across a variety of industries? Do phrases like "global effective tax rate reduction" and "efficient global cash utilization" peak your interest? Do you enjoy providi...

6h ago

Go to Apply

Senior Finance Systems Analyst (Yardi & Kyriba)

CBRE • Denver, CO • 6h ago

Finance, Accounting & Banking

Senior Finance Systems Analyst (Yardi & Kyriba) Job ID 216037 Posted 31-Jul-2025 Service line Advisory Segment Role @type Full-time Areas of Interest Accounting/Finance Location(s) Remote - US - Remote - US - United...

6h ago

Go to Apply

Subscribe to get new jobs sent directly to you
(no charge, cancel anytime)

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.