KYC Reporting Lead

Melville 1 (22567), United States of America, Melville, New York

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

KYC Reporting Lead

The Role:

The Commercial Operations team supports our clients and client bankers to set up relationships and provide ongoing servicing support. The Commercial Know your Customer (KYC) Fulfillment team is responsible for ensuring that the Commercial Bank meets Anti-Money Laundering (AML) rules as dictated by regulations. As a part of this organization there are multiple monitoring and control functions that take place to ensure compliance. The KYC monitoring and control lead will have knowledge of how to use process engineering practices to ensure effective monitoring is in place for our process exceptions. This associate will need to apply their knowledge of AML regulations, standards and process engineering to lead a small team of associates in one of our most critical functions. On a day to day basis, this team is responsible for holding our frontline associates accountable for gather all appropriate KYC information and meeting critical deadlines.

The Person

We are seeking an individual who inspires their team to perform well, meet regulatory requirements, work with auditors, and partner with peers to assure overall team success. The candidate should have strong attention to detail, keen problem-solving skills, and communicate effectively with both external and internal customers. In addition, this person should be eager to understand Commercial Banking and AML requirements. The candidate should have the ability to engage in interactive dialogue with internal customers through active listening. He/she approaches problems logically and with good judgment to ensure the appropriate outcome. The individual should effectively prioritize work to meet process and customer needs. The ideal candidate will be open to change, share ideas, and assure processes and procedures are accurate.


  • Ensure monitoring effectiveness and data accuracy
  • Effectively identify and communicate risks, performance trends and leverage points for process improvements
  • Work directly with auditors related to ongoing audit requests
  • Understand the principles of process engineering, engage the team in process thinking and incorporate into process management routines
  • Manage 1-2 associates
  • SME in applicable regulations and internal policies
  • Effectively manage escalations
  • Ensure policies and procedures are followed resulting in consistent adherence to requirements to pass audits and exams
  • Drive a process improvement mindset particularly engaging associates in ideas and managing through change
  • Time-management, organizational skills, communication, judgement and positive demeanor are a must
  • Write and deliver effective performance reviews aligned with Capital One performance processes
  • Establish relationships with LOB partners
  • Responsible for meeting critical regulatory deadlines
  • Manage and communicate key process measures for your lines of business

Basic Requirements
  • Bachelor's degree or military experience
  • At least 2 years of people management experience
  • At least 3 years of experience with Anti-Money Laundering or at least 3 years of experience with Know Your Customer
  • At least 2 years of experience in a client facing role
  • Proficient in Microsoft Office

Preferred Requirements
  • At least 1 year of Commercial banking experience
  • At least 5 years of experience with Anti-Money Laundering or at least 5 years of experience with Know Your Customer
  • Lean/Six Sigma certification

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

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