Principal AML Compliance Advisor, AML -KYC Data Management

Principal AML Compliance Advisor, AML -KYC Data Management

The Principal Compliance Advisory Associate performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the AML (Anti-Money Laundering) Program framework, the associate is responsible for delivering quality results by:

Supporting AML Advisory processes by providing input on business regulatory requirements; providing guidance on business policies, standards, and procedures and ensuring the maintenance of Advisory related procedures; reviewing targeted and ad hoc training, as appropriate; providing compliance advice on projects; providing guidance on controls over regulatory requirements and line of business monitoring of those controls; and performing targeted tests on lines of business controls and provide guidance on identified risks.

Responsibilities:

• Provide effective challenge and guidance on compliance risks and support Advisors through various interactions and forum engagements
• Assist in advising AML Advisory on application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation
• Maintain Advisory related decisions and determinations to ensure consistency in messaging and conclusions
• Develop strong understanding of applicable laws and regulations
• Support the evaluation of Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
• Support AML Advisory through advice, influence adjustments to the processes, procedures, and control
• Liaison with internal and external Bank personnel to ensure completion of program attestations required to maintain external relationships
• Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations
• Identify trends in data for potential risk impacts
• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
• Assist with the updating of AML owned procedures

Basic Qualifications

• Bachelor's Degree or Military Experience
• At least 3 years of regulatory compliance experience, or at least 3 years of risk management experience, or at least 6 years of financial services industry experience
• At least 3 years of Anti-Money Laundering (AML) compliance experience
• At least 3 years of Tableau software experience

Preferred Qualifications

• Bachelor's Degree in Business Management, Compliance, Risk, Legal, or Finance, Accounting or a related field
• 4+ years of regulatory compliance experience, or risk management experience, or financial services industry experience
• 4+ years of experience in financial services, or AML functions, or compliance risk management, or AML project management
• Previous experience supporting programs where senior leaders and external stakeholders are your customers
• 4+ years of experience of Tableau and Structured Query Language (SQL)
• Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III

Chicago, IL: $109,900 - $125,400 for Compliance Advisory Specialist III

McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III

Plano, TX: $109,900 - $125,400 for Compliance Advisory Specialist III

Wilmington, DE: $109,900 - $125,400 for Compliance Advisory Specialist III

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 an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to [email protected]

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).