Capital One
AML Sr Investigator III- List Screening Operations (LSO)
Capital One, Plano, Texas, us, 75086
AML Sr Investigator III- List Screening Operations (LSO)
Join to apply for the AML Sr Investigator III- List Screening Operations (LSO) role at Capital One.
The 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 FinCEN, Negative News, and PEP. LSO also supports AML processes, which may involve suspicious activity investigations, 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 in AML; provide direction and assistance on AML related issues/investigations
Strong analytical writing and communication skills; 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.
Compensation The minimum and maximum full‑time annual salaries for this role are listed below, by location.
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
Salary information is solely for candidates hired to perform work within one of these locations. Salaries for part‑time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
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.
Benefits 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.
No agencies please. 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.
To request 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 our recruiting process, please send an email to Careers@capitalone.com.
Capital One does not provide, endorse nor guarantee and is not liable for third‑party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
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The 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 FinCEN, Negative News, and PEP. LSO also supports AML processes, which may involve suspicious activity investigations, 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 in AML; provide direction and assistance on AML related issues/investigations
Strong analytical writing and communication skills; 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.
Compensation The minimum and maximum full‑time annual salaries for this role are listed below, by location.
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
Salary information is solely for candidates hired to perform work within one of these locations. Salaries for part‑time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
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.
Benefits 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.
No agencies please. 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.
To request 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 our recruiting process, please send an email to Careers@capitalone.com.
Capital One does not provide, endorse nor guarantee and is not liable for third‑party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
#J-18808-Ljbffr