Raymond James · 2 weeks ago
AML & Sanctions Compliance Testing Manager
United States
Full-time
Remote
Senior Level
$100K/yr - $105K/yr
6+ years expRaymond James is a financial services firm seeking an AML & Sanctions Compliance Testing Manager. The role involves conducting independent compliance testing of the firm’s Anti-Money Laundering program and ensuring that AML & Sanctions controls are effective and aligned with regulatory requirements.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Designs and executes AML & Sanctions compliance testing plans, including sampling methodologies and risk-based test scripts to assess adherence to regulatory requirements and internal policies
Evaluates the effectiveness of AML & Sanctions controls, transaction monitoring processes, and suspicious activity reporting procedures through independent testing
Prepares detailed reports of AML & Sanctions testing results, including findings, root cause analysis, and recommendations for remediation
Monitors corrective actions taken to address identified issues and ensures timely resolution
Collaborates with AML & Sanctions compliance leadership to ensure testing aligns with regulatory expectations and industry best practices
Researches AML & Sanctions regulatory requirements, emerging risks, and industry best practices to inform testing scope and procedures
Reports AML & Sanctions testing results, trends, and remediation progress to compliance and business management
Supports external AML audits and regulatory reviews by providing testing documentation and results
Coaches, trains, and mentors less experienced compliance testers on testing methodologies and regulatory expectations
Prepares and delivers testing reports and presentations to senior management, highlighting findings and recommendations
Performs other duties and responsibilities as assigned
Qualification
Required
Certified Anti-Money Laundering Specialist (CAMS) certification required, or ability to obtain CAMS certification within six months of hire
Extensive knowledge and skills obtained through education and experience in securities and/or banking
Designs and executes AML & Sanctions compliance testing plans, including sampling methodologies and risk-based test scripts to assess adherence to regulatory requirements and internal policies
Evaluates the effectiveness of AML & Sanctions controls, transaction monitoring processes, and suspicious activity reporting procedures through independent testing
Prepares detailed reports of AML & Sanctions testing results, including findings, root cause analysis, and recommendations for remediation
Monitors corrective actions taken to address identified issues and ensures timely resolution
Collaborates with AML & Sanctions compliance leadership to ensure testing aligns with regulatory expectations and industry best practices
Researches AML & Sanctions regulatory requirements, emerging risks, and industry best practices to inform testing scope and procedures
Reports AML & Sanctions testing results, trends, and remediation progress to compliance and business management
Supports external AML audits and regulatory reviews by providing testing documentation and results
Coaches, trains, and mentors less experienced compliance testers on testing methodologies and regulatory expectations
Prepares and delivers testing reports and presentations to senior management, highlighting findings and recommendations
Applies AML & Sanctions regulatory requirements to testing scenarios
Works independently to manage multiple testing engagements
Influences remediation efforts through strong analytical and communication skills
Partners with other functional areas to accomplish objectives
Maintains confidentiality and stays current on AML & Sanctions regulatory changes and best practices
Preferred
Bachelor's degree (B.A./B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Executive Officer
James Sickling
COO - Fixed Income
Recent News
Private Banker International
2026-01-17
2026-01-16
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