Capital One
AML Sr Investigator III- List Screening Operations (LSO)
Capital One, Deerfield, Illinois, United States, 60063
AML Sr Investigator III- List Screening Operations (LSO)
The AML Senior Investigator III is responsible for the direct supervision, development, training, and education of a team of investigators. The investigator plans and conducts processes related to anti-money laundering and global sanction activities, and manages the workflow of the AML team.
Capital One’s List Screening Operations (LSO) performs screening, research, and disposition work for the Economic Sanctions Compliance Program, ensuring compliance with federally-mandated economic sanctions. This program targets dangerous or criminal individuals, organizations, and governments to deny them access to financial services. LSO also conducts screening, research and disposition against lists such as the Financial Crime Enforcement Network (FinCEN), Negative News, and Politically Exposed Person (PEP). Additionally, LSO supports AML processes, which may involve suspicious activity investigations, Currency Transaction Report (CTR) monitoring, customer due diligence, and enhanced due diligence.
Responsibilities
Operational Management – supervise daily workflow, operational queues, and metrics.
Manage, develop, train, and lead a team of investigators.
Write and deliver performance reviews, including development action plans.
Contribute to internal projects, maintain policies/procedures, and perform quality assurance reviews.
Assess internal trends, external regulatory findings, and current money‑laundering risk inquiries to make policy recommendations.
Report potential findings to management verbally and in writing in a timely manner.
Conduct, review, and evaluate findings using AML/KYC/CIP knowledge.
Serve as Subject‑Matter Expert (SME) in AML; provide direction and assistance on AML related issues and investigations.
Use strong analytical writing and communication skills, and maintain excellent organizational and time‑management skills.
Basic Qualifications
High School Diploma, GED or equivalent certification.
At least 3 years of Anti‑Money Laundering (AML) experience within financial services.
At least 2 years of people‑management experience.
Preferred Qualifications
Bachelor’s Degree.
4+ years of AML experience within the financial services industry.
3+ years of people‑management experience.
1+ year of process‑management experience.
Certified Anti‑Money Laundering Specialist (CAMS) or Certified Global Sanctions Specialist (CGSS) certification.
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full‑time annual salaries for this role are listed by location. Salaries for part‑time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Chicago, IL: $106,700 – $121,700
Jericho, NY: $128,000 – $146,100
McLean, VA: $117,300 – $133,900
New Orleans, LA: $106,700 – $121,700
Plano, TX: $106,700 – $121,700
Richmond, VA: $106,700 – $121,700
Riverwoods, IL: $106,700 – $121,700
Wilmington, DE: $106,700 – $121,700
This role is also eligible to earn performance‑based incentive compensation, which may include cash bonuses and/or long‑term incentives (LTI). Incentives could be discretionary or nondiscretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well‑being. Eligibility varies based on full or part‑time status, exempt or non‑exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
Capital One is an equal‑opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug‑free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23‑A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901‑4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
If you visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1‑800‑304‑9102 or via email at
RecruitingAccommodation@capitalone.com . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One’s recruiting process, please send an email to
Careers@capitalone.com .
#J-18808-Ljbffr
Capital One’s List Screening Operations (LSO) performs screening, research, and disposition work for the Economic Sanctions Compliance Program, ensuring compliance with federally-mandated economic sanctions. This program targets dangerous or criminal individuals, organizations, and governments to deny them access to financial services. LSO also conducts screening, research and disposition against lists such as the Financial Crime Enforcement Network (FinCEN), Negative News, and Politically Exposed Person (PEP). Additionally, LSO supports AML processes, which may involve suspicious activity investigations, Currency Transaction Report (CTR) monitoring, customer due diligence, and enhanced due diligence.
Responsibilities
Operational Management – supervise daily workflow, operational queues, and metrics.
Manage, develop, train, and lead a team of investigators.
Write and deliver performance reviews, including development action plans.
Contribute to internal projects, maintain policies/procedures, and perform quality assurance reviews.
Assess internal trends, external regulatory findings, and current money‑laundering risk inquiries to make policy recommendations.
Report potential findings to management verbally and in writing in a timely manner.
Conduct, review, and evaluate findings using AML/KYC/CIP knowledge.
Serve as Subject‑Matter Expert (SME) in AML; provide direction and assistance on AML related issues and investigations.
Use strong analytical writing and communication skills, and maintain excellent organizational and time‑management skills.
Basic Qualifications
High School Diploma, GED or equivalent certification.
At least 3 years of Anti‑Money Laundering (AML) experience within financial services.
At least 2 years of people‑management experience.
Preferred Qualifications
Bachelor’s Degree.
4+ years of AML experience within the financial services industry.
3+ years of people‑management experience.
1+ year of process‑management experience.
Certified Anti‑Money Laundering Specialist (CAMS) or Certified Global Sanctions Specialist (CGSS) certification.
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full‑time annual salaries for this role are listed by location. Salaries for part‑time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Chicago, IL: $106,700 – $121,700
Jericho, NY: $128,000 – $146,100
McLean, VA: $117,300 – $133,900
New Orleans, LA: $106,700 – $121,700
Plano, TX: $106,700 – $121,700
Richmond, VA: $106,700 – $121,700
Riverwoods, IL: $106,700 – $121,700
Wilmington, DE: $106,700 – $121,700
This role is also eligible to earn performance‑based incentive compensation, which may include cash bonuses and/or long‑term incentives (LTI). Incentives could be discretionary or nondiscretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well‑being. Eligibility varies based on full or part‑time status, exempt or non‑exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
Capital One is an equal‑opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug‑free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23‑A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901‑4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
If you visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1‑800‑304‑9102 or via email at
RecruitingAccommodation@capitalone.com . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One’s recruiting process, please send an email to
Careers@capitalone.com .
#J-18808-Ljbffr