AML Compliance Advisory Manager

The AML (Anti Money Laundering) Compliance Advisor Manager 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 Program framework the AML Compliance Advisor Manager is responsible for delivering quality results providing compliance advice to lines of business as a subject matter expert and executing or participating in corporate processes.

The AML Advisor Manager supports the line of business by:

-Providing input on business regulatory requirements
-Providing guidance on business policies standards and procedures
-Developing and leading department training as appropriate
-Providing compliance advice on complex projects
-Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
-Performing money laundering risk assessment reviews
-Partnering with first line to ensure AML requirements are appropriate and adhered to

Responsibilities:
-Review inquiries from lines of business and provide guidance on remediation escalate and facilitate with subject matter experts when necessary
-Identify trends in data and proactively advise on identified external and internal risks
-Maintain subject matter expertise of applicable laws and regulations
-Engage in Audit Regulatory and other reviews of the AML program.
-Evaluate Internal Audit Regulatory Exam and self-identified issues and events for compliance impacts
-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 such as: new products process development development of controls and monitoring remediation/corrective action of compliance breakdowns and change in law or regulation
-Assist lines of business in the development and maintenance of the Compliance Program such as how to monitor report and train
-Support lines of business through expert advice influence adjustments to the processes procedures and controls
-Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
-Assist in capturing maintaining and analyzing compliance data interpreting it to ensure consistency and adequate Compliance Risk Management
-Participate in reporting activities such as: NULAW NPMIG and other reports used by Senior Leadership

Basic Qualifications:
-Bachelors Degree or Military experience
-At least 5 years of experience in compliance or at least 5 years of experience with legal or at least 5 years of experience with audit

Preferred Qualifications:
-Masters Degree
-5 years of experience in compliance or 5 years of experience in legal or 5 years of experience with audit
-CRCM (Certified Regulatory Compliance Manager) certification or ACAMS (Association of Certified Anti Money Laundering Specialists) certification or CIPP (Certified Information Privacy Professional) certification or Series 7 certification Series 24 certification or 63 certification or Series 65 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.

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 candidates offer letter.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status exempt or non-exempt status and management level.

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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).