AML Quality Lead

Category

Risk Management

Experience

Principal Associate

Primary Address

Wilmington, Delaware

Overview

The Anti-Money Laundering (AML) Quality Lead serves as a team lead for a team of seasoned AML Quality Assurance / Control associates engaged a variety of work to promote great investigative outcomes useful to law enforcement and consistent with the Bank Secrecy Act (BSA)/other regulatory requirements. AML Quality Lead primary responsibility is to guide the largely self-directed team toward goals and objectives aimed at promoting the delivery of great investigations. The role requires working closely with AML Process Managers to perform a variety of critical functions and continuous improvement efforts to ensure great investigative outcomes. The Lead is also responsible ensuring the use of the AML FIU management system, developing and coaching the team associates serving as a first level of escalation to the team and flexing resource capacity as appropriate to meet sampling output targets. The Lead is also responsible for planning and conducting processes related to anti-money laundering and global sanction quality assurance activities as well as managing the production environment.

Responsibilities:

• Operational Management & Training: Guide team on work priorities and operational metrics of AML Operations team. Daily supervision of Quality Assurance teams directly supporting Anti-Money Laundering Investigations teams. Assist with training in Regulatory Operations and in the business areas
• Policy and 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 on draft Suspicious Activity Reports, sanction reviews, Currency Transaction Report (CTR), Enhanced Due Diligence (EDD) reviews or other AML process. Perform periodic review of the team members work
• Escalation Handling: Handle escalated issues as appropriate for advanced investigation and analysis.
• Industry Knowledge: Assess internal trends, external regulatory and law enforcement environment to make recommendations to understand risk areas and alter or add typologies in certain business areas.

Basic Qualifications:

• High School Diploma, GED or equivalent certification
• At least 2 years of AML financial crime experience within financial services
• At least 1 year of supervisory experience

Preferred Qualifications:

• Bachelor's degree
• 4 years of AML or financial crime experience within financial services
• Certified Anti-Money Laundering Specialist (CAMS), Certified Protection Professional (CPP), Certified Fraud Examiner (CFE) or host-nation equivalent

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.

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

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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).