Director, Proactive and Complex Investigations

Capital One Services, LLC • New York, NY • 2h ago

Director, Proactive and Complex InvestigationsThe 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:- Experience in a financial crime compliance or AML-related role, preferably within a financial institution, financial regulator, or law enforcement or intelligence agency, with a sound knowledge of financial crime typologies and financial services data.- Experience leading and/or conducting AML investigations and leading and/or participating in PPPs and proactive investigations- Experience setting and driving strategy for teams, influencing executive leaders, and resolving highly complex business problems through critical thinking.- Experience effectively liaising, building, and maintaining excellent, credible relationships with relevant government agencies and peer financial institutions.- Experience providing leadership and guidance to staff, fostering an inclusive environment that encourages associate participation, teamwork, and communication.- Experience successfully managing projects and conflicting deadlines.- Excellent written and verbal communication skills with a customer fo

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