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

• Bachelors 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

• Bachelors 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.

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).