Director, Proactive and Complex Investigations

Director, Proactive And Complex Investigations

The Anti-Money Laundering (AML) Group is a core risk function within Capital One's Corporate Compliance Department. This Group serves as a second line of defense, and in this role, you will work within Capital One's Financial Intelligence Unit (FIU) as part of the Complex Investigations Unit (CIU), which focuses on the most complex AML investigations that Capital One tackles, including cases from sensitive sources and public-private partnerships (PPPs) as well as proactive investigations and leads from our Strategic Intelligence team.

Responsibilities :

• Lead and build teams that will leverage relevant legal authorities such as sections 314(a) and 314(b) of the USA PATRIOT Act and take a network approach to investigating proactive and complex cases, including those referred to Capital One by sensitive sources, PPPs, and our Strategic Intelligence team.
• Drive the FIU's engagement with various external stakeholders in the public and private sectors, including at peer banks, to appropriately share information in furtherance of complex financial crime related investigations.
• Work and collaborate with technical partners such as AML's Modeling Analytics and Data Insights team and the Robotic Process Automation team to efficiently obtain the data necessary for comprehensive customer and counterparty activity reviews and to find efficiencies in investigative processes.
• Partnership with AML, FIU, and CIU leadership to set and implement the strategic direction for the CIU.
• Hire, train and manage teams of supervisors and investigators, guiding and reviewing day to day work.
• Liaise, engage, and communicate with AML advisory and business stakeholders when control gaps are identified and / or refer potential work to the appropriate stakeholders.
• Maintain knowledge of financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business leaders.
• Leading teams of supervisors and investigators in conducting high-quality proactive and complex AML investigations.
• Partnering with other leaders to develop new strategies and functions and to design and / or improve processes and procedures, ensuring successful implementation and integration with existing teams and functions.
• Maintaining excellent relationships with internal stakeholders across the FIU and the wider AML, Compliance & Ethics, and Risk teams.
• Maintaining excellent relationships with diverse external stakeholders across the public and private sectors, including law enforcement agencies, regulatory agencies, and other financial institutions.
• Briefing, influencing, and guiding business leaders in the execution of their decisions and ensure that business stakeholders understand potential risks and control gaps that proactive and complex investigations may identify; establishing strong partnerships to develop and execute associated risk mitigation plans.

Additional :

Basic Qualifications :

Preferred Qualifications :

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.

Anytown, DE : $181,800 - $207,500 for Director, AML Investigations

McLean, VA : $200,100 - $228,400 for Director, AML Investigations

Plano, TX : $181,800 - $207,500 for Director, AML Investigations

Richmond, VA : $181,800 - $207,500 for Director, AML Investigations

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. 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) 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.