AML Sr. Investigator II - Brokerage

  • Company: Capital One
  • Location: Wilmington, Delaware
  • Posted: November 24, 2016
  • Reference ID: R14930
Oliver Evans (18222), United States of America, Wilmington, Delaware

AML Sr. Investigator II - Brokerage

Level: Sr. Associate

The qualified candidate will supervise various Anti-Money Laundering (AML) Operations processes which would include alert monitoring, suspicious activity investigations, reporting, customer due diligence and enhanced due diligence.  Additionally, the qualified candidate will work closely with AML Process Managers to perform other critical functions.  The candidate would be responsible for planning and conducting processes related to AML as well as managing the workflow of the AML analysis.  The applicant would coach their team and teach others about AML processes through training and education. 

The role supports various Capital One Broker-Dealer subsidiaries which detect unusual or suspicious activity in a timely manner in an effort to safeguard the integrity of the brokerage firms and ensure compliance with Bank Secrecy Act /AML regulations.

- Operational Management & Training:  Supervise daily workflow and operational metrics of the Broker-Dealer AML Operations team.  Daily supervision of a small central unit of Investigators.  Assist with training in Regulatory Operations and in the business areas.
- Policy & Procedure Impact:  Contribute to internal AML Operations projects related to the modification of policies/procedures.  Assess new business acquisitions to determine what work should flow into AML Operations units.
- Quality Assurance:  Perform quality assurance of Suspicious Activity Reports and other AML processes.
- Escalation Handling:  Handle escalated issue as appropriate for advanced analysis and investigation, such as trading surveillance.
- Brokerage Industry Knowledge:  Assess internal trends, external regulatory and law enforcement environment to make recommendations to understand risk areas. 
- Respond to and coordinate with Law Enforcement contacts.
- Special projects as assigned by the AML Compliance Manager

- Strong analytical writing and communication skills

- Excellent Organizational and time management skills

- Excellent research skills including experience with online search tools

- High School Diploma, GED or equivalent certification, or Military experience

- At least 1 year of Anti-MoneyLaundering experiencewithin financial services

- At least 1 year of people management experience

- Proficiency in Microsoft Office

- Bachelor’s degree

- 4 years of AML experience within the financial services industry

- 4 years of financial industry experience with a Securities Broker-Dealer

- 2  years of people management experience

- Proficiency in Microsoft Office Suite

- 1 year of Processmanagement experience

- Certified Anti-Money Laundering Specialist (CAMS) certification

- FINRA Series 7
- FINRA Series 24

- Proficiency in Microsoft Office Suite

At this time Capital One will not sponsor a new applicant for employment authorization for this position.

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