Capital One

AML, Sanctions and PEP Investigator

Nottingham, England, United Kingdom

Not SpecifiedCompensation
Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, BankingIndustries

Requirements

Candidates should have previous experience in AML or Financial Crime Prevention, preferably in an investigations environment. Knowledge and understanding of AML and Sanctions regulations are required, along with technical skills in case management systems, investigative tools, and screening platforms. An analytical nature, focus, and high attention to detail are essential. ICA AML, Financial Crime Awareness, or Compliance Certificates are desirable.

Responsibilities

The AML, Sanctions and PEP Investigator will manage a portfolio of work to ensure AML compliance requirements are met. This includes investigating transaction monitoring reports, suspicious activity, potential sanctions matches, and Politically Exposed Persons (PEPs). Responsibilities also involve completing complex and high-risk AML workstreams, making referrals to the NCA, identifying vulnerable customer indicators, and supporting projects and initiatives within the AML Function. The role requires demonstrating sound judgment, adhering to policy, identifying process improvements, and escalating issues as appropriate.

Skills

AML
Sanctions
PEP
Transaction Monitoring
Suspicious Activity Investigation
NCA Referrals
CBR
Terrorism Financing
Police Cases
Account Treatment Recommendations
Vulnerable Customer Identification
Compliance
Policy Adherence
Process Improvement

Capital One

Offers diverse financial products and services

About Capital One

Capital One provides a variety of financial services aimed at making banking accessible and easy for everyone. The company offers products such as credit cards, savings accounts, car loans, and business checking accounts, catering to both individual consumers and small businesses primarily in the United States. Capital One's approach includes user-friendly banking solutions with no fees or minimums for checking accounts, allowing customers to manage their finances more effectively. They generate revenue through interest on loans, credit card fees, and investment banking services. What sets Capital One apart from its competitors is its strong commitment to financial inclusion and literacy, demonstrated through community partnerships and educational initiatives, such as collaborations with Khan Academy. The company's goal is to create a more inclusive financial system and empower customers with the knowledge and tools they need to make informed financial decisions.

McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees

Benefits

Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program

Risks

Increased competition in subscription management tools may dilute Capital One's advantage.
Over-reliance on partnerships could expose Capital One to technological risks.
Departure of key personnel like Joe Rodriguez may affect risk management continuity.

Differentiation

Capital One offers user-friendly banking with no fees or minimums for checking accounts.
The company partners with Khan Academy to provide financial literacy education.
Capital One is the first major U.S. bank to offer subscription management tools.

Upsides

Capital One's mobile app is a model for secure, user-friendly digital banking.
Data sharing with Worldpay enhances payment security and fraud prevention.
Partnerships with fintechs like Minna Technologies improve customer experience.

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