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 t