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.

• 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

• 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

• 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

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

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

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 Article 23-A of the New York Correction Law;
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