Financial Crime

• Lead or participate in highly complex initiatives and investigations.
• Investigate, research, examine, and report complex financial crimes transactions, policy violations and suspicious situations with high levels of risk.
• Develop, foster and conduct regular outreach to Law Enforcement to better understand the underlining predicate for Consortium investigations.
• Lead multiple WF and Consortium member bank members to conduct highly complex driven projects.
• Conduct internal WF Consortium and 314(a) predicated investigations.
• File complex SARs with FinCEN on behalf of WF.
• Draft and compile a robust, comprehensive investigative Consortium Report (Joint Analysis) synthesizing your investigative findings, trends discovered and risk concerns for WF.
• Present investigative findings to executive members within WF: to include the BSA Officer, AMLFI Executives, SAR Review Working Group members, Business Advisory Leaders and other internal stakeholders.
• Perform investigative research, root cause assessment and consulting regarding highly complex financial crimes transactions, policy violations and suspicious situations with moderate to high risk.
• Perform detailed examination of data to detect transactional and relationship patterns, trends, anomalies, schemes and risks across multiple businesses or products.
• Partner closely with leadership to develop strategies to minimize financial crime portfolio risk.
• Provide leadership within the team.
• Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals.
• Provide executive and business advisory leaders briefings on investigative findings and trends impacting WF.

Senior Financial Crimes Specialist

• Support various AML processes including suspicious activity investigations
• Review system generated alerts and conduct research as required
• Write suspicious activity reports and make closing recommendations
• Manage a queue of alerts, cases, and investigations
• Conduct presentations to Senior Leadership
• Help maintain operations of a SIU Specialty Desk

Senior AML Investigator – Special Investigations Unit

• Manage model development/estimation activities across the model life cycle, including planning, data acquisition, estimation, evaluation, documentation, approval, model/business process integration and implementation
• Build / lead a team of highly skilled quantitative model developers to develop risk models using advance modeling approaches and set the standard for excellent performance
• Provide leadership / mentorship to other quantitative model development managers across various products, modeling disciplines and complexities
• Establish, maintain and administer model development infrastructure, process and procedures
• Assist various parties (e.g., lines of business leads) with identifying/assessing viable model development opportunities
• Assist with model compliance activities as it relates to Model Risk Management/SR 26-2 policy/standards
• Assist client (model owner) with integrating model into the business process and model deployment activities, including production scoring support and sustainability, as appropriate
• Provide on-going model support specific to evaluation/surveillance and interpretation of model performance
• Provide consultation and represent client (model owner) during 3rd party assurance provider (e.g., Model Risk Management, Corp Audit, regulatory bodies) reviews and Q&A activities

Head of Quantitative Financial Crimes

• Design and maintain a multi-year AML Strategic Roadmap that aligns with Capital One’s innovative approach to new products and services
• Lead the delivery of the enterprise-wide money laundering and sanctions risk assessments, targeted risk assessments, and periodic control effectiveness reviews
• Develop and integrate dynamic risk assessment processes into AML reviews and decision making
• Monitor relevant financial crime regulatory requirements and typologies, and advise investigations, analytics, product, and technology teams on the deployment of controls to mitigate AML risks
• Lead second-line compliance control reviews, providing assurance that Capital One’s AML controls are designed and operating effectively to mitigate financial crime risk and are in compliance with Enterprise Risk Management (ERM) standards
• Serve as a key liaison during regulatory examinations, audits, and other programmatic reviews
• Build strong partnerships and collaborate with business, technology, and other stakeholders to reach optimal business and risk management outcomes in a dynamic and fast-moving environment
• Maintain and update AML’s guidance for first-line assessments and product, service, industry, and transaction risk ratings

Director, Anti-Money Laundering – Risk Assessments and Regulatory Strategy

• Perform AML/KYC review activities including attestation review
• Support daily team operations by monitoring team inbox, assigning alerts/cases, and assisting with workflow coordination
• Conduct research and screening activities including adverse media reviews and other preliminary due diligence tasks
• Assist with quality assurance by completing quality checks, testing, and ensuring adherence to established procedures
• Provide administrative and operational support through KPI tracking, meeting documentation, data entry, and participation in department projects and process improvement initiatives

Senior Anti-Money Laundering Investigator I – Network Due Diligence

• The FIU AML Risk Investigator (Investigator) serves as a subject matter expert performing a wide range of functions with a high level of difficulty and complexity into money laundering and financial crimes typologies, unusual activity, initial onboarding due diligence and ongoing periodic risk analysis.
• Conduct end-to-end reviews on higher risk customers including but not limited to periodic risk analysis, AML investigations, and suspicious activity reporting related to BSA/AML and Fraud.
• Utilizes a variety of analytical techniques, which may include internal or external software systems, to make informed decisions concerning customer account transaction activity, account balances, and account status.
• Ensures suspicious or unusual transactions are appropriately identified, documented, and managed in accordance with Bank policies, procedures, and regulatory requirements.
• Partners with lines of business (LsOB) or individual account officers for additional information as needed.
• Manage and navigate complex investigations Managing assignments to ensure work is completed in adherence to deadlines and quality expectations.

FIU AML BSA Risk Investigator

• The FIU AML Risk Investigator (Investigator) serves as a subject matter expert performing a wide range of functions with a high level of difficulty and complexity into money laundering and financial crimes typologies, unusual activity, initial onboarding due diligence and ongoing periodic risk analysis.
• Conduct end-to-end reviews on higher risk customers including but not limited to periodic risk analysis, AML investigations, and suspicious activity reporting related to BSA/AML and Fraud.
• Utilizes a variety of analytical techniques, which may include internal or external software systems, to make informed decisions concerning customer account transaction activity, account balances, and account status.
• Ensures suspicious or unusual transactions are appropriately identified, documented, and managed in accordance with Bank policies, procedures, and regulatory requirements.
• Partners with lines of business (LsOB) or individual account officers for additional information as needed.
• Manage and navigate complex investigations.
• Managing assignments to ensure work is completed in adherence to deadlines and quality expectations.
• Maintain Subject Matter Expertise in federal and state laws, regulations, and guidance related to BSA/AML.
• Maintain a strong understanding of factors contributing to AML Risks.
• Identify gaps and make procedural recommendations to strengthen the integrity of the BSA/AML Program specific to risk investigations.
• Review customers’ suitability for products and regulatory exemptions to provide recommendation to management.
• Making recommendations for exiting relationships based on AML risks, following-up to ensure closures are performed as directed.
• Assist FIU Management with tracking metrics on a quarterly basis, identifying and escalating concerns upon review.
• Perform other duties as assigned by management.

AML BSA Risk Investigator

• Perform a key risk management role (second line of defense) to ensure compliance with applicable laws and regulations
• Drive and deliver quality results and provide compliance advice to lines of business as a subject matter expert
• Partner with executives and their teams to identify potential risks in a collaborative environment
• Develop and lead department training as appropriate
• Provide AML advice on complex projects
• Engage and influence business stakeholders to ensure AML requirements are appropriately addressed

Senior Manager, Anti-Money Laundering (AML), Global Payment Network Advisory

• Provide fraud advisory and industry domain expertise to help clients assess, design, and strengthen fraud risk management programs across prevention, detection, investigation, and recovery.
• Lead client engagements to define fraud strategy, operating model, governance, policies/procedures, and control enhancements across prevention, detection, investigation, and recovery.
• Facilitate working sessions with client stakeholders and third parties to evaluate current-state capabilities, define target-state needs, and prioritize pragmatic improvements to reduce fraud losses and operational friction.
• Conduct fraud risk assessments and program effectiveness reviews across commercial sector clients, covering key typologies, channels, products, and customer journeys.
• Author fraud advisory thought leadership (whitepapers, POVs, case studies, playbooks) on emerging typologies, regulatory expectations, and leading practices.
• Support leadership in business development activities to scale the fraud advisory practice (e.g., proposals, client workshops, and solution positioning).
• Advise client leaders on fraud risk requirements, risk appetite, governance, escalation paths, and decisioning approaches to improve detection, investigations, and customer outcomes.
• Review fraud metrics, trends, and analytical outputs to identify root causes, control gaps, and actionable recommendations, and to support executive-ready reporting and governance routines.
• Responsible for following firm risk management protocols to ensure quality of all client deliverables.
• Responsible for day-to-day activities of a project including interaction with other team members, professionals from other firms involved in the engagement, and client personnel.
• Prepare client-ready deliverables (risk assessments, operating model artifacts, control matrices, playbooks, and executive summaries) that document findings, recommendations, and implementation roadmaps.

Managing Consultant/Associate Director – Fraud Advisory – Financial Crimes Risk and Compliance

• Implement and maintain an effective financial crimes program for the company that complies with all applicable laws, regulations, and regulatory expectations
• Manage procedures, controls, analytics and trend analysis to ensure proactive identification, prevention, execution, detection, investigation, recovery and reporting of financial crime activity.
• Ensure execution and ongoing management of a mid-size risk based financial crimes program across the enterprise or a risk based financial crimes program across large to mid-size businesses with moderate risk and complexity.
• Identify and recommend opportunities for process improvement and risk control development.
• Provide thoughtful independent credible challenge internally to supported lines of business, across other Corporate Risk programs, and across the enterprise.
• Collaborate with peers, colleagues, and multiple level managers.
• Manage communication and collaboration with business heads, Legal, Audit, and regulators on risk related topics.
• Manage allocation of people and financial resources for Financial Crimes.
• Mentor and guide talent development of direct reports and assist in hiring talent.

Financial Crimes Manager – Payments Screening

• Act as an Economic Sanctions Subject Matter Expert responsible for helping oversee and govern Wells Fargo’s OFAC sanctions program and providing accurate and thoughtful regulatory guidance to business units.
• Act as an advisor to leadership to develop or influence objectives, plans, specifications, resources, and long-term goals for highly complex business and technical needs across groups and functions.
• Implement and maintain an effective financial crimes program that complies with all applicable laws, regulations, and regulatory expectations.
• Evaluate long-term implications and consequences of strategic business decisions and recommend appropriate alternatives for risk management.
• Lead the strategy and resolution of highly complex and unique challenges requiring in-depth evaluation across multiple areas or the company.
• Deliver solutions that are long-term, large-scale and require vision, creativity, innovation, advanced analytical thinking, and coordination of highly complex activities and guidance to others.
• Lead implementation of complex initiatives with high risk, generally spanning multiple business lines.
• Provide vision, direction and full knowledge to leadership on implementing innovative and significant business solutions that are large scale companywide strategies.
• Serve as an excellent advisor to leadership.

Senior Lead Financial Crimes Officer – OFAC Sanctions

• Apply strategic and analytical skills to major company challenges
• Develop and test strategies that impact the bottom line
• Analyze macroeconomic trends driving AML investigation volumes
• Optimize the investigative process through operational risk management
• Communicate operations performance and analytical approaches to executive audiences
• Manage and develop 1-2 analysts

Business Manager – Anti-Money Laundering

• Preparation and maintenance of governance process documentation
• Facilitation of Policies, Standards and Procedures (PSP) changes including annual renewals and off-cycle changes
• Assist in defining and developing governance metrics and data to monitor compliance and program effectiveness
• Provide support in preparing materials for various AML forums
• Communicating and reporting on results of assessments, and processes
• Assist in regulatory applicability change process
• Researching and problem-solving

Anti-Money Laundering (AML) Global Payment Network (GPN) Risk Specialist

• Support complex U.S. Government financial crime and illicit finance investigations by assisting with investigative research, analysis, and documentation related to money laundering, terrorist financing, proliferation financing, cyber‑enabled financial crime, and related threats.
• Conduct investigative research and analysis under the guidance of senior staff, using Bank Secrecy Act (BSA) data, law enforcement reporting, intelligence, open‑source, and commercially available sources to support ongoing illicit finance investigations.
• Assist with the development administrative records, evidentiary memoranda, and supporting documentation for special collections actions (e.g., Section 311 actions, Geographic Targeting Orders, Demand Letters, 5318(k) subpoenas, Section 314(a) requests), incorporating direction and feedback from senior investigators.
• Assist in analyzing financial and investigative information to identify patterns, typologies, and indicators of illicit activity.
• Contribute to the preparation of briefing materials, talking points, presentations, and written products for senior government stakeholders, ensuring accuracy, clarity, and adherence to quality standards.
• Assist with data collection, organization, and validation activities, helping ensure information is complete and structured for investigative and analytical use.
• Maintain accurate documentation of work performed and support reporting and quality control processes.
• Build subject‑matter expertise as an investigator while increasing independence over time.

Senior Financial Investigations Consultant

• Conducts investigations of moderate complexity for both internal and external cases
• Recommends for demarket and/or freezing accounts by the appropriate investigative unit
• Conducts adjudications of moderate complexity
• May provide QA/review and mentorship of a team
• Applies reasonable grounds to suspect money laundering and terrorist financing
• Conducts data analysis, manipulation and interpretation looking for patterns and anomalies
• Initiates investigations and/or responds to emerging AML and Sanctions/ABAC risks
• Assists and coordinates investigations with various law enforcement agencies as delegated
• Prepares and delivers AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as assigned

Financial Crime Risk Investigator II – OneTouch

• Support various AML processes including suspicious activity investigations and other AML processes.
• Collaborate with AML Supervisors and Managers to perform critical functions.
• Conduct suspicious activity reporting and closing investigations for high-risk typologies.
• Review system-generated alerts, assess impact to AML processes, and document results.
• Write suspicious activity reports, make closing recommendations, and conduct enterprise-wide reviews.
• Self-manage a queue of alerts, cases, and closing investigations.
• Conduct presentations to Senior Leadership and/or Legal.
• Help maintain operations of a SIU Specialty Desk and keep desk guides current.

• Launch new features for Anti-Money Laundering platforms that ensure compliance with regulatory requirements
• Partner with other disciplines like Data and Tech to deliver outcomes aligned to a shared team mission and vision
• Accelerate product discovery, prototyping and delivery with AI tools
• Develop your roadmap and transform Enterprise Risk Management through innovation

Senior Associate, Product Management – Anti-Money Laundering

• Investigating fraud and misconduct, bribery and corruption, and other investigative matters
• Supporting counsel in litigation and expert witness engagements potentially including damages calculations, document requests, witness questions, and market research
• Completing complex tasks independently and reviewing associate work for accuracy
• Maintaining effective client communications and organized personal and engagement files
• Contributing to proposals and assisting with business development activities

Senior Associate, Financial Investigations and Dispute Services

• Utilize internal and external data to provide insights, develop analytical strategies, and provide analytical support regarding a wide array of business initiatives in the Financial Crimes space.
• Partner with business and technical groups to design and implement analytic solutions; provide influence and leadership in the identification of new tools and methods to analyze data.
• Perform detailed analysis to detect transactional and relationship risk insights, trends, anomalies and schemes across multiple businesses or products.
• Lead exploratory transactional reviews to scope target populations, managing and coordinating partner feedback and reviewing risk presentations that require visibility from senior management and governance.
• Lead and support interactions with internal and external partners to advance intelligence initiatives and information sharing involving AML, CFT, and Fraud typologies and relevant industry risks and trends.
• Maintain awareness of and accountability to global financial crimes risks and trends and geopolitical events impacting Wells Fargo business operations.
• Perform investigative research, root cause assessment and consulting regarding highly complex financial crimes transactions, policy violations and suspicious situations with moderate to high risk.
• Partners with key stakeholders to develop strategies to identify and mitigate financial crimes risk at an enterprise level through innovative analysis.
• Leads projects, teams or functions as a subject-matter expert to less experienced team members and partners.

Senior Financial Crimes Specialist, Financial Crimes Intelligence Team

• Evaluate and monitor transactional activity to identify potential suspicious activity
• Verify client identities and assess their relationships with financial institutions for Know your Customer (KYC) purposes
• Interpret and implement client-operating policies related to financial data
• Identify data anomalies and red flags for money laundering, terrorist financing, fraud, sanctions violations, and escalate for second level review
• Write clear, concise reports summarizing findings and recommendations
• Use basic Excel functions and technology applications (Microsoft, internet) for analysis
• Adhere to designated timeframes and procedures to ensure timely and accurate completion of tasks
• Submit written work product for review by internal quality control teams and make necessary adjustments based on feedback
• Meet production and quality standards while working collaboratively in a team-oriented environment
• Ensure compliance with federal and state laws, regulations and company policies, and client requirements related to Anti-Money Laundering

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