Director II, Sanctions & Governance

Director II, Sanctions & Governance

Raymond James

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 management to develop tactical plans for FCM-related enterprise client and corporate securities review initiatives.

Provides comprehensive solutions to problems and performs extensive analysis of identified issues, current processes, and proposed remediations. Maintains regular contact with various departments and C-level executives to perform the functions of this job.

• 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.
• Evaluates, enhances and optimizes investigations associated with Anti-Money Laundering (AML)/Counter-Terrorist Financing (CTF)/Sanctions.
• Develops policies, standards and procedures, tailored to sanctions investigations of clients, transactions and securities reviews, while aligning with corporate policies and standards.
• Tailors appropriate training modules for Raymond James’ enterprise AML programs; delivers targeted sanctions training, as required, to appropriate staff of subsidiaries and ensures training participation by all associates of those subsidiaries.
• Monitors compliance of investigations and governmental reporting; identifies, reports and ensures remediation of any related issues; serves as the primary liaison to RJF business executives on enterprise client investigations and higher-risk corporate securities reviews matters.
• Demonstrates an understanding of the broader economic sanctions regulations essential for selecting and planning new projects.
• Analyzes investment merits/risks of proposed new tools and processes.
• Interacts 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.

• Strong knowledge of Sanctions regulatory requirements.
• Financial markets, products, financial advisory function and investment process.
• Sanctions-related controls.
• Concepts, practices and principles of project management.

• Preparing and delivering clear, effective, and professional presentations.
• Demonstrating strong communication skills in all aspects of the role that influence individuals outside of his or her span of control.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Build strong working relationships with teams, stakeholders, and senior management.
• Partner with other functional areas to accomplish objectives.
• Identify problems, gather facts, and develop solutions.
• Analyze problem/situation to determine needs, wants, and goals.
• Identify and lead project teams, including planning, assigning, monitoring, reviewing, and evaluating project activities.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast‑paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

• Bachelor’s degree (B.A.) from a four‑year college or university and a minimum of ten (10) years of experience, preferably in a financial services firm or a consulting firm with projects supporting financial services firms. JD Preferred.
• OR
• Any equivalent…