Review inquiries from lines of business and provide guidance on action/remediation; escalate and facilitate with subject matter experts when necessary
Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
Advise lines of business on application of compliance requirements pertaining to new products and services, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation
Support lines of business with questions in the development and maintenance of a business / first line of defense compliance program, such as how to monitor, report, and train
Issue/event oversight for Commercial KYC - includes identifying trends in data and proactively advising on identified risk
Maintain subject matter expertise of applicable laws and regulations
Engage in Audit, Regulatory, and other reviews of the AML program
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
Provide support to risk assessment and/or control initiatives such as the Money Laundering Risk Assessment (MLRA), or the Applicability and Control Review (ACR)
Complete required ad hoc tasks in support of inquiries or initiatives.
Role will function within AML Advisory across Commercial LOBs
Requirements
Bachelor's degree or military experience
At least 3 years of Anti-Money Laundering (AML) Compliance experience
At least 3 years of experience in Compliance, Legal, or Audit
6+ years in AML Compliance experience
2+ years of Compliance Advisory Experience
Certified Regulatory Compliance Manager (CRCM) Certification, Association of Certified Anti-Money Laundering Specialist (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
McLean, VA: $151,900 - $173,400 for Compliance Advisor Manager
Plano, TX: $138,100 - $157,700 for Compliance Advisor Manager
Richmond, VA: $138,100 - $157,700 for Compliance Advisor Manager
Wilmington, DE: $138,100 - $157,700 for Compliance Advisor Manager
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
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.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is
Benefits
Health insurancePerformance bonus
Additional Information
Compliance Advisor Manager
The Advisory Manager performs a key risk management role (second line of defense) by ensuring that business lines deliver AML strategies compliant with applicable anti-money laundering laws and regulations. The role will collaborate with the line of businesses to deliver AML requirements and monitor compliance with regulatory standards. The Advisory Manager will implement initiatives that continuously improve AML soundness across the line of business. The role will help to establish an effective risk control environment and address regulatory/compliance requirements. While working within the AML Advisory team, the Advisory Manager is responsible for delivering quality results, providing compliance advice to business lines as an AML subject matter expert, and executing or participating in corporate risk management processes.
The Compliance Advisor will support the business by:
Providing input on business regulatory requirements;
Providing guidance on business policies, standards, and procedures;
Participating in department training, meetings as appropriate;
Providing compliance advice on projects and other new initiatives;
Providing guidance on controls over regulatory requirements and line of business monitoring of those controls;
Performing targeted tests on lines of business controls and provide guidance on identified risks
Capital One · Mclean, VA