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; elevate 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 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. 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 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. Eligibility varies based on full or part‑time status, exempt or non‑exempt status, and management level. 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. #J-18808-Ljbffr Comfort Systems USA