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