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Senior AML Compliance Investigator
2 months ago
Position Overview:
The Senior AML Compliance Investigator plays a crucial role in overseeing various Anti-Money Laundering (AML) functions, which may encompass investigations of suspicious activities, reporting of currency transactions, global sanctions assessments, and enhanced due diligence.
This position requires close collaboration with AML Process Managers to execute essential tasks effectively. The investigator is responsible for strategizing and implementing processes related to anti-money laundering and global sanction initiatives while managing the workflow of AML analyses.
Key Responsibilities:
Operational Oversight & Training:
Lead daily operations and performance metrics of the AML Operations team. Provide daily supervision to a dedicated group of investigators and assist in training related to regulatory operations and relevant business sectors.
Policy & Procedure Development:
Engage in internal AML Operations projects aimed at refining policies and procedures. Evaluate new business acquisitions to determine the necessary workflow into AML Operations units.
Quality Control:
Conduct quality assurance reviews on draft Suspicious Activity Reports, sanctions evaluations, Currency Transaction Reports (CTRs), Enhanced Due Diligence (EDD) assessments, and other AML processes.
Issue Resolution:
Address escalated matters appropriately for advanced investigation and analysis.
Industry Insight:
Analyze internal trends and the external regulatory landscape to provide recommendations that enhance understanding of risk areas and to modify or introduce typologies in specific business sectors.
Qualifications:
Basic Requirements:
- High School Diploma, GED, or equivalent certification
- Minimum of 1 year of management experience
- At least 2 years of experience in AML within the financial services sector
Preferred Qualifications:
- Bachelor's Degree
- Over 2 years of management experience
- More than 3 years of AML experience in financial services
- Certifications such as Certified Anti-Money Laundering Specialist (CAMS), Certified Protection Professional (CPP), or Certified Fraud Examiner (CFE)
Compensation:
This role offers a competitive salary range based on location and is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives.
Benefits:
Capital One provides a comprehensive and competitive benefits package that supports the overall well-being of employees. Eligibility for benefits may vary based on employment status and management level.
Diversity & Inclusion:
Capital One is committed to fostering a diverse and inclusive workplace. All qualified applicants will receive consideration for employment without regard to various protected statuses.
