AML Compliance Advisory Manager
| Company | Capital One |
|---|---|
| Location | Plano, TX, USA, McLean, VA, USA, Richmond, VA, USA |
| Salary | $132800 – $166700 |
| Type | Full-Time |
| Degrees | Bachelor’s, Master’s |
| Experience Level | Senior |
Requirements
- Bachelor’s Degree or Military experience
- At least 5 years of experience in compliance, or at least 5 years of experience with legal, or at least 5 years of experience with audit
Responsibilities
- Review inquiries from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
- Identify trends in data and proactively advise on identified external and internal risks
- 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
- Advise lines of business on application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation
- Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
- Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls
- Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
- Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
- Participate in reporting activities, such as: NULAW, NPMIG, and other reports used by Senior Leadership
Preferred Qualifications
- Master’s Degree
- 5+ years of experience in compliance, or 5+ years of experience in legal, or 5+ years of experience with audit
- CRCM (Certified Regulatory Compliance Manager) certification, or ACAMS (Association of Certified Anti Money Laundering Specialists) certification, or CIPP (Certified Information Privacy Professional) certification, or Series 7 certification, Series 24 certification, or 63 certification, or Series 65 certification