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Raymond James Financial, Inc.

Senior Fraud Investigation Analyst

Raymond James Financial, Inc. - Saint Petersburg, FL

Senior Fraud Investigation Analyst','1703607','!*!Job Summary: Under limited supervision, uses specialized knowledge and

skills in securities and/or banking industry compliance obtained through

experience, specialized training and/or certification to implement fraud

program requirements in compliance with various rules and regulations. Leads

projects of moderate scope and complexity and serves as a technical advisor to various

business lines, with direct reporting to the enterprise fraud lead. Resolves or

recommends solutions to complex problems, with the ability to draft detailed

documentation. Extensive contact with internal customers is required to

identify, research and resolve problems.                Essential Duties and Responsibilities: ·        

Coordinate across compliance, operations,

technology and business personnel to effectively implement and test

fraud-related controls.·        

Devise and analyze metrics and prepare

senior management-level reports related to key measurements of the enterprise

fraud program. ·        

Prepare and lead fraud-related trainings of

targeted divisions and functional units within the Firm.·        

Develop and administer tailored policies and

procedures to mitigate the firm’s fraud risk.·        

Directly participate in and provide necessary

support for special projects and initiatives as assigned. ·        

Investigate potentially suspicious activity that

may arise from account surveillance, branch escalations, risk alerts,

regulatory investigations, and matters otherwise escalated to the Fraud Group

by the Business, Compliance, Legal, Risk or other Firm divisions where account

transactional activity is at issue.·        

Conduct appropriate due diligence related to the

potential suspicious activity through the review of client background

information and review of securities and/or monetary transactions.·        

Conduct due diligence searches in various third

party and internal databases. ·        

Prepare Suspicious Activity Reports, as


Monitor regulatory developments and industry

trends to facilitate incorporation into the Firms’ enterprise-wide fraud

program. ·        

Develop documentation related to various fraud

issues to enhance corporate policies and/or procedures.


Performs other duties and responsibilities as

assigned.','!*!Knowledge of:·        

Fraud-related controls, policies, and procedures.·        

Inherent fraud risks associated with

brokerage/banking industry.·        

Concepts, practices and procedures of securities

industry and/or banking compliance reviews. ·        

Fundamental investment concepts, practices and

procedures used in the securities industry. ·        

Principles of banking and finance and securities

industry operations. ·        

Financial markets and products.   Skill in:·        

Administering fraud-related controls, with associated

policies and procedures.  ·        

Analyzing transactional activity to identify suspicious

transactions.   ·        

Developing and delivering technical training to


Identifying and applying appropriate compliance

monitoring procedures and tests.·        

Developing senior management-level metrics and

reports.  Ability to:·        

Gather information, identify linkages and trends

and apply findings to assignments.·        

Interpret and apply industry-standard fraud

controls 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


Work independently as well as collaboratively within

a team environment.·        

Provide a high-level of customer service to

internal and external clients. ·        

Establish and maintain effective professional

working relationships at all levels of the organization.


Handle highly confidential information professionally

and with appropriate discretion.

Educational/Previous Experience Requirements:

• Bachelor’s Degree from a four-year college or university in a related field and 3-5 years AML investigatory and analysis experience. 


·         CFE and/or CAMS certification preferred.','Auditing & Compliance','US-FL-St. Petersburg-Saint Petersburg','','RJF Risk Management','Full-time','Day Job','No','Senior Fraud Investigation Analyst'

7 days

Raymond James Financial, Inc.


Senior Fraud Investigation Analyst Raymond James Financial, Inc. - Saint Petersburg, FL, United States


Location: Saint Petersburg, FL

Company Profile:
Founded in 1962 and a public company since 1983, Raymond James is a diversified financial services holding company with subsidiaries engaged primarily in investment and financial planning, in addition to investment banking and asset management. Our stock is traded on the New York Stock Exchange (RJF).You can call it Ray or you can call it Ray Jay. Raymond James Financial doesn't mind as long as it's calling on customers. It offers investment and financial planning services primarily through subsidiary Raymond James & Associates (RJA), which provides securities brokerage, investment banking, and financial advisory services in North America and Europe. Its Raymond James Financial Services offers financial planning and brokerage services via independent financial advisors, as well as through alliances with community banks. Other units provide asset management, trust, and banking services. The firm has more than 2,500 traditional branches, satellite offices, and independent contractor branches.