Compliance Advisory Specialist III, Principal Associate

Compliance Advisory Specialist III, Principal Associate

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

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III

Wilmington, DE: $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

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 Capital 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 (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, 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.

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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).