Compliance Advisory Specialist III, Principal Associate
Capital OneAbout the role
The Anti-Money Laundering (AML) Compliance Advisory Specialist III 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 Compliance Management Program framework, the AML Compliance Advisory Specialist is responsible for delivering quality and timely results, providing compliance advice to the business, and executing or participating in corporate processes.
Responsibilities:
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 Know Your Customer (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 Compliance Control Review (CCR)
Complete required ad hoc tasks in support of inquiries or initiatives.
Role will function within AML Advisory across Commercial lines of business (LOBs)
Basic Qualifications:
Bachelor’s Degree or Military experience
At least 3 years of Anti-Money Laundering (AML) Compliance or Anti-Money Laundering (AML) Risk Management experience
Preferred Qualifications:
Masters Degree
5+ years of Anti-Money Laundering (AML) Compliance experience or 5+ years of Anti- Money Laundering (AML) Risk Management experience or
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.
Plano, TX: $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 Generate a tailored application kit with a matched cover letter, interview prep, and CV highlights — in under 60 seconds. Free account required — sign up in 30sApply for this role