Director, Quality Assurance & Control - AML & Financial Crimes Management

Job Description Summary

Job Description

The Director of Quality Assurance & Control covering Anti-Money Laundering (AML) & Financial Crimes Management (FCM) is responsible for leading a team of managers who oversee Quality Assurance (QA) and Quality Control (QC) professionals reviewing and challenging work products related to AML, anti-fraud, and economic sanctions compliance. This role ensures that both preventive (QA) and detective (QC) mechanisms are in place to uphold the integrity, accuracy, and regulatory compliance of the financial crimes-related activities performed by the RJF AML/ FCM shared services organization. The Director will drive strategic initiatives, promote operational excellence, and serve as a key liaison between QA/QC teams and RJF AML/FCM’s senior leadership team.

Essential Duties And Responsibilities

• Lead and develop a team of QA/QC managers across AML, fraud, and economic sanctions domains.
• Define and implement a comprehensive QA/QC framework that supports both proactive process improvement and reactive error detection.
• Align QA/QC programs with regulatory expectations, internal policies, and industry best practices.
• Establish standards and procedures to ensure that work products are developed correctly from the outset.
• Collaborate with RJF’s AML/FCM shared service organization to embed quality into processes and controls.
• Provide feedback loops to improve training, guidance, and system design.
• Oversee sampling and testing of completed work products to identify errors, inconsistencies, or non-compliance.
• Ensure timely remediation of identified issues and track corrective actions to resolution.
• Monitor performance metrics and error rates to inform risk-based adjustments.
• Present QA/QC outcomes, trends, and strategic recommendations to senior leadership and governance committees.
• Maintain documentation of QA/QC methodologies, scoring frameworks, and escalation protocols.
• Support internal and external audits and regulatory examinations.
  
  

Knowledge of

• Strong understanding of regulatory frameworks (e.g., BSA/AML, OFAC, FATF, FinCEN).
• Financial markets, products, financial advisory function and investment process.
• Concepts, practices, and principles of project management.
• QA/QC methodologies and best practices for applying a risk-based approach to mitigate operational and compliance risks.
  
  

Skill in

• Applying QA/QC tools, case management systems, and data analytics platforms to work processes.
• Preparing and delivering clear, effective, and professional presentations.
• Effectively managing managers of teams responsible for QA/QC or audit functions within a financial institution.
• Analytical, communication, and stakeholder management skills.
  
  

Ability to

• Build strong working relationships with teams, stakeholders, and senior management.
• Liaise with auditors and regulators in an exam context.
• Collaborate across departments and teams to accomplish objectives.
• Identify problems, gather facts, and develop solutions.
• 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.
  
  

Licenses/Certifications

• Certified AML Specialist (CAMS) is required
• Certified Fraud Examiner (ACFE) preferred
• Certified Sanctions Specialist preferred
• Regulatory industry license (e.g., FINRA SIE, Series 7) preferred.
  
  

Travel Required

• Yes, 20 % of the Time
  
  

Education

Bachelor’s (Required)

Work Experience

Manager Experience - 10 to 15 years

Certifications

Certified Anti-Money Laundering Specialist (ACAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS)

Travel

Less than 25%

Workstyle

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.