Capital One
AML Sr Investigator III- List Screening Operations (LSO)
Capital One, Chicago, Illinois, United States, 60290
AML Sr Investigator III- List Screening Operations (LSO)
AML Senior Investigator III is responsible for the direct supervision, development, training, and education of a team of investigators. The associate is also responsible for planning and conducting processes related to anti-money laundering and global sanction activities as well as managing 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. Additionally, LSO conducts screening, research, and disposition against various lists, including Financial Crime Enforcement Network (FinCEN), Negative News, and Politically Exposed Person (PEP). LSO also supports Anti‑Money Laundering (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 (verbally and written) potential findings to management in a timely manner
Conduct, review, and evaluate findings using AML/KYC/CIP knowledge
Subject Matter Expert (SME) in AML; provide direction and assistance on AML related issues/investigations
Strong analytical writing and communication skills will be a key component as well as use of 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 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 below, by location. Salaries are for candidates hired to perform work within one of these locations and reflect the amount Capital One is willing to pay at the time of this posting. Salaries for part‑time roles will be prorated based on the agreed 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 bonus(es) and/or long‑term incentives (LTI). Incentives could be discretionary or non‑discretionary 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‑time or part‑time status, exempt or non‑exempt status, and management level.
Capital One is an equal‑opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws.
Seniority level
Mid‑Senior level
Employment type
Full‑time
Job function
Finance and Sales
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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. Additionally, LSO conducts screening, research, and disposition against various lists, including Financial Crime Enforcement Network (FinCEN), Negative News, and Politically Exposed Person (PEP). LSO also supports Anti‑Money Laundering (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 (verbally and written) potential findings to management in a timely manner
Conduct, review, and evaluate findings using AML/KYC/CIP knowledge
Subject Matter Expert (SME) in AML; provide direction and assistance on AML related issues/investigations
Strong analytical writing and communication skills will be a key component as well as use of 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 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 below, by location. Salaries are for candidates hired to perform work within one of these locations and reflect the amount Capital One is willing to pay at the time of this posting. Salaries for part‑time roles will be prorated based on the agreed 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 bonus(es) and/or long‑term incentives (LTI). Incentives could be discretionary or non‑discretionary 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‑time or part‑time status, exempt or non‑exempt status, and management level.
Capital One is an equal‑opportunity employer (EOE, including disability/vet) committed to non‑discrimination in compliance with applicable federal, state, and local laws.
Seniority level
Mid‑Senior level
Employment type
Full‑time
Job function
Finance and Sales
#J-18808-Ljbffr