Capital One AML Sr. Investigator I - Brokerage in Wilmington, Delaware

Oliver Evans (18222), United States of America, Wilmington, Delaware

AML Sr. Investigator I - Brokerage


The qualified candidate will support the various Capital One Broker-Dealer subsidiaries in detecting unusual or suspicious activity in a timely manner in an effort to safeguard the integrity of the brokerage firms and ensure compliance with Bank Secrecy Act /Anti-Money Laundering (AML) regulations. The qualified candidate will support AML Operations processes which would include alert monitoring, suspicious activity investigations, customer due diligence, and other AML processes.

The candidate will work be able to work independently with minimal supervision while ensuring critical functions are fulfilled timely and accurately.


  • Review system generated alerts, assess impact to AML processes, analyze suspicious trading and funds movement, conduct research, and document results in written format.

  • Perform research through brokerage/bank systems, online public and subscription-based resources and internal contacts

  • Write Suspicious Activity Reports (SARs) in accordance with regulations and time limitations

  • Assist the brokerages in executing on its Account Closing Policy

  • Identify and perform Enhanced Due Diligence on New and Existing customers

  • Handle issues as appropriate for advanced investigation and analysis

  • Support team supervisors in executing certain responsibilities

  • Perform special projects as needed

Basic Qualifications :

  • High School Diploma, GED or equivalent certification, or Military experience.

  • At least 1 year of fraud, or at least 1 year of investigative experience, or at least 1 year of compliance experience.

Preferred Qualifications :

  • 2 years fraud experience, or 2 yearsof investigativeexperience, or 2 years of compliance experience

  • 2 years experience with a secuties Broker-Dealer

  • Certified Anti-Money Laundering Specialist (CAMS) or willingness to obtain

  • Bachelors degree

  • Proficiency in Microsoft Office

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