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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