Capital One
AML Sr Investigator III- List Screening Operations (LSO)
Capital One, Jericho, New York, United States, 11753
Overview
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. LSO conducts screening, research, and disposition against various lists, including FinCEN, Negative News, and Politically Exposed Person (PEP). LSO also 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 (verbal 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 Demonstrate strong analytical writing and communication skills, with excellent organizational and time management Basic Qualifications
High School Diploma, GED or equivalent 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 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 Additional Information
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 for part-time roles will be prorated based upon hours worked. Location-based ranges are provided for AML Sr Investigator III: 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 Candidates hired to work in other locations will be subject to the pay range of that location, and the offer will be reflected in the offer letter. This role is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives. Capital One offers a comprehensive, competitive, and inclusive set of benefits. Eligibility varies based on full- or part-time status, exempt or non-exempt status, and management level. For details, visit the Capital One Careers website. 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 laws. Capital One maintains a drug-free workplace and will consider qualified applicants with a criminal history consistent with applicable laws. If you require accommodation during the recruitment process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com. Capital One does not provide, endorse nor guarantee third-party products or services available through this site. Capital One Financial comprises several entities; positions posted in Canada, the United Kingdom, and the Philippines correspond to respective Capital One entities. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales
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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. LSO conducts screening, research, and disposition against various lists, including FinCEN, Negative News, and Politically Exposed Person (PEP). LSO also 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 (verbal 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 Demonstrate strong analytical writing and communication skills, with excellent organizational and time management Basic Qualifications
High School Diploma, GED or equivalent 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 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 Additional Information
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 for part-time roles will be prorated based upon hours worked. Location-based ranges are provided for AML Sr Investigator III: 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 Candidates hired to work in other locations will be subject to the pay range of that location, and the offer will be reflected in the offer letter. This role is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives. Capital One offers a comprehensive, competitive, and inclusive set of benefits. Eligibility varies based on full- or part-time status, exempt or non-exempt status, and management level. For details, visit the Capital One Careers website. 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 laws. Capital One maintains a drug-free workplace and will consider qualified applicants with a criminal history consistent with applicable laws. If you require accommodation during the recruitment process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about Capital One's recruiting process, please email Careers@capitalone.com. Capital One does not provide, endorse nor guarantee third-party products or services available through this site. Capital One Financial comprises several entities; positions posted in Canada, the United Kingdom, and the Philippines correspond to respective Capital One entities. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales
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