Director, Risk Management - Commercial KYC Operations
1307 Walt Whitman (22600), United States of America, Melville, New York
Director, Risk Management - Commercial KYC Operations
Are you looking for a challenging role that includes the convenience of working virtually at home? Then a Capital One Commercial Ops role may be the role for you! You must be within 100 miles driving distance from one of our hubs in Richmond, VA or Melville, NY.
The Commercial Know your Customer (CKYC) Operations team is responsible for ensuring that the Commercial Bank meets Anti-Money Laundering (AML) requirements as dictated by regulations. We are seeking an experienced Director to lead the CKYC operations team across multiple focus areas, including: LOB consulting, frontline KYC critical challenge and associated due diligence, KYC workflow/case management and KYC quality control.
The ideal candidate for this position will have in-depth knowledge of AML/KYC programs and compliance requirements. They will be a passionate leader of leaders who can inspire a large team to meet a common goal. As the owner of a critical business process, the successful candidate will have experience in process engineering and/or project management and risk management. Partnering effectively within a complex cross functional matrix and the ability to communicate effectively across all levels of the organization is key to success in this role.
Responsibilities:
Act as AML and KYC SME to senior executive stakeholders and/or key business partners.
Serve as a critical business process owner who will monitor BAU performance metrics, deliver on SLA commitments, leverage data to refine/improve business processes and ensure policies, procedures and controls are up to date, followed and effective.
Drive a continuous improvement agenda by performing gap assessments and providing insights/recommendations to process, product and technology partners to ensure smart business decisions
Partner strategically and tactically across the lines of defense and with Operations and LOB leaders to effectively and efficiently meet compliance requirements.
Design and implement a structure to manage work in a dynamic and complex environment.
Work with Managers, KYC Pod Leaders and Quality Control Specialists to identify risks and issues requiring action/escalation.
Follow well managed practices resulting in consistent adherence to requirements and successful audit/exam results.
Assess root cause for issues/escalations to help design remediation plans and determine improvement opportunities (e.g. coaching, process changes, communication, training.)
Collaborate with Risk/AML partners to optimize the interaction model and provide clear insights into upstream and downstream processes to enable the CKYC team to manage operations effectively.
Operate with high levels of independence and autonomy while applying exceptional judgment to critical business decisions.
Influence and effectively communicate with partners across the company value chain while delivering high quality and/or high impact results through others.
Support associate development and own performance/talent management processes within the team.
Stay abreast of industry trends and make strategic recommendations on how we can get to where the industry is going ahead of competitors, resulting in a differentiated client experience.
Create an inspiring and motivating team environment with an open communication culture.
Work at Home Technology Requirements:
A secure home office environment that is free from background noise and distractions
A reliable private internet connection that is not supplied by using cellular data (hot spot)
Cable or fiber connections are preferred
Internet service download speeds must be at least 5 mbps, with 10+ mbps preferred - check your download speed using a speed test. A sample one can be found here. To test your home internet from your personal computer at home, type www.speedtest.net into the web browser of your personal computer.
Sustained ability to maintain latency less than 250 ms in voice calls is required
Hard wired connectivity is preferred, any use of wireless connectivity must be Private (non-public) and password protected through WPA2-PSK (AES) encryption. If you have any questions about your encryption, please consult with your internet provider
A private network is password protected where you have ownership or line of sight to every device on the network
Capital One reserves the right to request proof of internet provider, speed and service package from the associate
Requirements are subject to change, as new systems and technology are delivered. Capital One reserves the right to modify internet service requirements with sixty (60) days notice.
Candidates must live within 100 miles driving distance of one of the hub locations based in Richmond, VA, or Melville, NY.
Basic Qualifications:
Bachelor’s Degree or Military experience
At least 3 years of Know Your Customer (KYC) experience
At least 3 years of Project Management or Process Management experience
At least 5 years of People Leadership experience
Preferred Qualifications:
CAMS Certification
Process Management or Project Management certification (Lean, Six Sigma or PMP for example)
Master's Degree or JD Degree
At least 5 years of KYC experience
At least 8 years of Project Management or Process Management experience
At least 8 years of People Leadership experience
At least 5 years of experience at a Commercial or Investment Bank
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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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).