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) by ensuring corporate initiatives and lines of business processes comply with applicable laws and regulations. Working within the Compliance Management Program framework, the specialist delivers quality and timely results, provides compliance advice to the business, and executes or participates 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, supporting lines of business through interactions and forum engagements. Advise lines of business on the application of compliance requirements for new products and services, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or regulation. Support lines of business with questions in the development and maintenance of a business/first line of defense compliance program, including 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. Basic Qualifications Bachelor’s Degree or military experience. At least 3 years of AML compliance or AML risk management experience. Preferred Qualifications Master’s Degree. 5+ years of AML compliance experience or 5+ years of AML risk management experience. Certified Anti‑Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification. Compensation and Benefits Plano, TX: $109,900 – $125,400 Richmond, VA: $109,900 – $125,400 Wilmington, DE: $109,900 – $125,400 Chicago, IL: $109,900 – $125,400 McLean, VA: $120,800 – $137,900 Applicants hired to work in other locations will be subject to the pay range associated with that location. This role is also eligible to earn performance‑based incentive compensation, which may include cash bonuses and/or long‑term incentives. 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‑time or part‑time status, exempt or non‑exempt status, and management level. Equal Employment Opportunity Capital One is an equal opportunity employer (EOE, including disability/veteran) committed to non‑discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug‑free workplace. Capital One will consider qualified applicants with a criminal history in a manner consistent with applicable laws regarding criminal background inquiries, including, to the extent applicable, Article23‑A of the NewYork Correction Law; SanFrancisco, California Police Code Article49, Sections4901–4920; NewYork City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations. #J-18808-Ljbffr