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Investigator supporting Anti - Money Laundering processes at Capital One. Review alerts, conduct research, and document results to ensure compliance with regulations.
About the role
- Senior Specialist for the AML/KYC team ensuring verification and compliance for private equity investors. Reviewing documents and assisting in client onboarding with operational excellence.
Responsibilities
- Assist in the AML/KYC verification process for all engaged client relationships
- Deliverables include administration services provided to private equity funds and related clients
- Ensure operational excellence in the AML/KYC on-boarding, client data maintenance, document review, and remediation/KYC refresh processes
- Review investor documents, identify deficiencies or compliance with policies and prepare status trackers
- Assist in identifying items for escalation and participate in decisions regarding client onboarding
- Escalate all High-Risk investors/clients, as appropriate, to the Manager, Compliance and/or legal teams
- Research and analyze background of new and existing clients
- Partake in communications with clients on AML/KYC remediation items and workflow processes
- Performing source of fund verification utilizing different types of bank transaction reports
- Create and/or update procedures, where applicable
- Participate in ongoing training to stay abreast of regulatory and industry changes
- Support implementation, upgrades, and use of all portals or technologies to manage daily workflow
- Internal responsibilities (filing, status reports, time tracking, etc.)
Requirements
- BS/BA Degree in business, legal or related industry or equivalent work experience
- ACAMs or CAFP designation preferred but not required
- Exceptional research and analytical skills with the ability to analyze large amounts of data
- AML-specific knowledge and experience is an asset
- Knowledge around new Fraud/AML scenarios, FinCEN guidance, Industry guidance, regulatory requirements, and best practices for anti-money laundering and KYC programs is an asset
- Able to multitask and perform tasks under strict deadlines
- Experience maintaining client relationships
- Professional verbal and written communication skills
- Attention to detail and strong organizational skills
- Investor Services experience a plus
Benefits
- Annual success-sharing bonuses or commission plans based on individual performance
- Competitive and comprehensive benefits package including annual leave, tuition reimbursement, referral bonuses, and more
- Support for colleagues with disabilities, ensuring necessary resources for roles
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