AML Sr Investigator III- List Screening Operations (LSO)

Capital One; Chicago (IL); On-site; USD 106,700 - 121,700; Full time

Benefits offered by this job

Competitive salary

Performance-based incentives

Comprehensive benefits package

Job summary

A financial services company is seeking an AML Senior Investigator III in Chicago to supervise a team and manage AML processes. This role encompasses conducting investigations, ensuring compliance with economic sanctions, and developing team members through training. Candidates should have a background in anti-money laundering, team management experience, and a high school diploma or equivalent. The position offers a competitive salary ranging from $106,700 to $121,700 annually, along with various performance incentives and benefits.

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.

Responsibilities

• Supervise daily workflow and operational metrics.
• Manage and develop a team of investigators.
• Write and deliver performance reviews.
• Contribute to internal projects and perform quality assurance reviews.
• Assess internal trends and make policy recommendations.
• Report potential findings to management.
• Conduct and evaluate findings using AML/KYC/CIP knowledge.
• Provide direction on AML-related issues.

Job description

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 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. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. 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 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. Learn more at the Capital One Careers website. 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.

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