Capital One is looking for a Senior Manager to support the Anti-Money Laundering (AML) Advisory Card and Enterprise Services team. The Senior Manager Compliance Advisor 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 Compliance Advisor Senior 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.
Effective and efficient processes are critical to identifying and managing compliance risk, and meeting customer and regulator expectations. The Compliance Advisor 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 Compliance Advisor Senior 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.
Responsibilities:
Advise the Card and Enterprise Service lines of business on application of AML requirements, such as: new products, process development, development of controls and monitoring, remediation and corrective action of compliance breakdowns, and change in law or regulation.
Advises the first line of defense on multiple consumer facing products and is responsible for identifying cross-product risks.
Analyze information to proactively identify risks, trends, and process improvements; supports reporting on risk topics to management.
Identify trends in data and proactively advise on identified external and internal risks.
Stay current on the changing AML regulatory landscape and understanding the impacts to the Card and Enterprise Services businesses.
Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts.
Participate in Compliance forums and contribute to continuous improvement of local AML risk management processes.
Review inquiries from Card and Enterprise Services lines of business and provide guidance on remediation, escalating and working with subject matter experts, when necessary.
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.
Flexibility to travel to different Capital One locations, as necessary.
Basic Qualifications:
Bachelor's Degree or military experience
At least 6 years of experience in Regulatory Compliance, Risk Management, or Anti-Money Laundering (AML) compliance
Preferred Qualifications:
Bachelor's Degree in Business Management, Compliance, Risk, Legal, Finance, Accounting or a related field
8+ years of experience in Regulatory Compliance, Risk Management, or Anti-Money Laundering (AML) compliance
8+ years of experience in Compliance, Legal, or Audit
2+ years of experience in Compliance Advisory
2+ years of experience advising on Anti-Money Laundering (AML) risks associated with Credit Card products
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.
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.
This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com
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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).
