Senior Director, Complex Investigations

Capital One is a leading banking and technology company seeking to reimagine banking. One of our key risk management priorities is to continue to transform our AML and Sanctions program to enable rigorous, nimble, and sustainable AML and Sanctions risk management, delivered through partnership between the first, second, and third lines of defense, tailored to Capital One's products, services, risks, and capabilities.

The Anti-Money Laundering and Sanctions program is a core risk function within Capital One’s Corporate Compliance Department. This Group serves as a second line of defense and operates certain first line of defense controls for Capital One’s Lines of Business. Capital One has a highly motivated, mission-driven AML and Sanctions team focused on enabling rigorous, nimble, and sustainable risk management.

Capital One is seeking a leader to serve as the Head of its Complex Investigations team within its Financial Intelligence Unit (FIU). We are seeking a results-oriented and forward leaning candidate with the experience, subject matter and transformational expertise, regulatory credibility, and proven operational effectiveness in a highly regulated environment to join a high-performing team and help lead it to pre-eminence.

Responsibilities:

• Lead the execution, evolution, and continuous improvement of Capital One’s enterprise-wide complex financial crimes investigations team. 
• Manage a diverse and geographically dispersed investigative team that investigates Capital One’s most complex financial crimes compliance cases, while driving high quality performance and process excellence.
• Build strong partnerships and collaborate with business, technology, analytics, and other stakeholders to reach optimal business and risk management outcomes in a dynamic and fast-moving environment. 
• Work and collaborate with AML’s Modeling Analytics and Data Insights team to obtain the data necessary for investigative activities. 
• Effectively liaise, engage, and communicate with AML advisory and business stakeholders when control gaps are identified and/or refer potential work to the appropriate stakeholders. 
• Serve as an active participant on the FIU Senior Leadership Team, helping to drive strategy, execution, as well as an open, transparent, diverse, and inclusive culture across Capital One’s FIU and the broader AML organization.
• Interact with credibility, when appropriate, with federal, state, and local government and law enforcement officials, peer financial institutions, relevant public-private partnerships, and trade associations. 
• Maintain knowledge of financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business leaders. 
• Prepare and oversee the reporting of investigative results to senior management and the Board of Directors, as appropriate.
• Display a high degree of emotional intelligence, foster good team dynamics, respond effectively to address employee concerns, and maximize the potential of team members.

Competencies:

• Demonstrated ability to formulate a strategic vision for a risk management, compliance, audit, or regulatory organization while providing meaning, context, and motivation to execute the strategic priorities.
• Understand and embrace the power of technology, analytics, and automation to drive error-free execution. 
• Strong business judgment, analytical acumen, and the ability to evaluate complex, multi-dimensional situations, and risk characteristics and to formulate appropriate compliance recommendations and advice.
• Strong strategic planning and change management skills, including ability to plan, organize, and oversee the development and implementation of strategies to streamline operational processes and ensure the delivery of sustainable, effective, and efficient risk management services across the enterprise.  
• Proven capability to influence and build consensus among peers and senior leadership leveraging sound logic and analysis.
• Highly developed interpersonal, presentation, and communications skills (both verbal and written) in a diverse and inclusive work environment. 
• Ability to communicate effectively at all levels of the organization, as well as with external parties. 
• As necessary, hire, train, and manage a team and supervise that team member’s daily investigations. 

Additional Responsibilities:

• Experience in a financial crime compliance role, preferably within financial services with a sound knowledge of control gap assessments, root cause analysis, and financial crime typologies, financial services data.
• Experience in leading complex, public-private and/or proactive investigations, building a function doing the same, influencing executive leaders, and resolving highly complex business problems through critical thinking.
• Effectively liaise, build, and maintain excellent, credible relationships with relevant senior business stakeholders, government agencies, and peer financial institutions. 
• Experience in transforming teams to a pre-eminent state, while providing leadership and guidance to staff, fostering an inclusive environment that encourages associate participation, teamwork, communication, and transparency.
• Ability to manage projects and conflicting deadlines, including sequencing delivery of complex work across teams. 
• Excellent written and verbal communication skills with a customer focus mind-set.  Significant experience briefing senior stakeholders succinctly but effectively under potentially stressful deadlines.   

Basic Qualifications:

• Bachelor's degree or military experience
• At least 10 years of experience in financial crime compliance or financial crime risk in the private sector or public sector
• At least 10 years of people management experience

Preferred Qualifications:

• Juris Doctorate or Master's degree in Accounting, Finance, Economics, or Business Administration 
• Certified Risk Professional, Certified Regulatory Compliance Manager certification, or Certified Internal Auditor, or equivalent
• At least 15 years of experience in compliance management, or financial crime-related roles, either in the private or public sector
• At least 15 years of people management experience 
• At least 15 years of experience in complex investigations, or their equivalent. 
• Experience working in or extensively with the government. 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.

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 RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).

Capital One is a leading banking and technology company seeking to reimagine banking. One of our key risk management priorities is to continue to transform our AML and Sanctions program to enable rigorous, nimble, and sustainable AML and Sanctions risk management, delivered through partnership between the first, second, and third lines of defense, tailored to Capital One's products, services, risks, and capabilities.

The Anti-Money Laundering and Sanctions program is a core risk function within Capital One’s Corporate Compliance Department. This Group serves as a second line of defense and operates certain first line of defense controls for Capital One’s Lines of Business. Capital One has a highly motivated, mission-driven AML and Sanctions team focused on enabling rigorous, nimble, and sustainable risk management.

Capital One is seeking a leader to serve as the Head of its Complex Investigations team within its Financial Intelligence Unit (FIU). We are seeking a results-oriented and forward leaning candidate with the experience, subject matter and transformational expertise, regulatory credibility, and proven operational effectiveness in a highly regulated environment to join a high-performing team and help lead it to pre-eminence.

Responsibilities:

• Lead the execution, evolution, and continuous improvement of Capital One’s enterprise-wide complex financial crimes investigations team. 
• Manage a diverse and geographically dispersed investigative team that investigates Capital One’s most complex financial crimes compliance cases, while driving high quality performance and process excellence.
• Build strong partnerships and collaborate with business, technology, analytics, and other stakeholders to reach optimal business and risk management outcomes in a dynamic and fast-moving environment. 
• Work and collaborate with AML’s Modeling Analytics and Data Insights team to obtain the data necessary for investigative activities. 
• Effectively liaise, engage, and communicate with AML advisory and business stakeholders when control gaps are identified and/or refer potential work to the appropriate stakeholders. 
• Serve as an active participant on the FIU Senior Leadership Team, helping to drive strategy, execution, as well as an open, transparent, diverse, and inclusive culture across Capital One’s FIU and the broader AML organization.
• Interact with credibility, when appropriate, with federal, state, and local government and law enforcement officials, peer financial institutions, relevant public-private partnerships, and trade associations. 
• Maintain knowledge of financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business leaders. 
• Prepare and oversee the reporting of investigative results to senior management and the Board of Directors, as appropriate.
• Display a high degree of emotional intelligence, foster good team dynamics, respond effectively to address employee concerns, and maximize the potential of team members.

Competencies:

• Demonstrated ability to formulate a strategic vision for a risk management, compliance, audit, or regulatory organization while providing meaning, context, and motivation to execute the strategic priorities.
• Understand and embrace the power of technology, analytics, and automation to drive error-free execution. 
• Strong business judgment, analytical acumen, and the ability to evaluate complex, multi-dimensional situations, and risk characteristics and to formulate appropriate compliance recommendations and advice.
• Strong strategic planning and change management skills, including ability to plan, organize, and oversee the development and implementation of strategies to streamline operational processes and ensure the delivery of sustainable, effective, and efficient risk management services across the enterprise.  
• Proven capability to influence and build consensus among peers and senior leadership leveraging sound logic and analysis.
• Highly developed interpersonal, presentation, and communications skills (both verbal and written) in a diverse and inclusive work environment. 
• Ability to communicate effectively at all levels of the organization, as well as with external parties. 
• As necessary, hire, train, and manage a team and supervise that team member’s daily investigations. 

Additional Responsibilities:

• Experience in a financial crime compliance role, preferably within financial services with a sound knowledge of control gap assessments, root cause analysis, and financial crime typologies, financial services data.
• Experience in leading complex, public-private and/or proactive investigations, building a function doing the same, influencing executive leaders, and resolving highly complex business problems through critical thinking.
• Effectively liaise, build, and maintain excellent, credible relationships with relevant senior business stakeholders, government agencies, and peer financial institutions. 
• Experience in transforming teams to a pre-eminent state, while providing leadership and guidance to staff, fostering an inclusive environment that encourages associate participation, teamwork, communication, and transparency.
• Ability to manage projects and conflicting deadlines, including sequencing delivery of complex work across teams. 
• Excellent written and verbal communication skills with a customer focus mind-set.  Significant experience briefing senior stakeholders succinctly but effectively under potentially stressful deadlines.   

Basic Qualifications:

• Bachelor's degree or military experience
• At least 10 years of experience in financial crime compliance or financial crime risk in the private sector or public sector
• At least 10 years of people management experience

Preferred Qualifications:

• Juris Doctorate or Master's degree in Accounting, Finance, Economics, or Business Administration 
• Certified Risk Professional, Certified Regulatory Compliance Manager certification, or Certified Internal Auditor, or equivalent
• At least 15 years of experience in compliance management, or financial crime-related roles, either in the private or public sector
• At least 15 years of people management experience 
• At least 15 years of experience in complex investigations, or their equivalent. 
• Experience working in or extensively with the government. 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.

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 RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).