Plano 5 (31065), United States of America, Plano, Texas

Compliance Advisor Manager

Capital One's AML and Sanctions program enables rigorous, nimble, and sustainable AML and Sanctions risk management. This program is delivered through partnership between the first, second, and third lines of defense and tailored to Capital One's products, services, risks and capabilities. The Compliance Advisor Manager sits within the AML Program Risk Office, where they will also support AML Program governance activities.

The Compliance Advisor Manager will apply their AML subject matter, as well as, their competencies and knowledge of regulatory requirements to AML Program functions. The Compliance Advisor Manager will work cross-functionally across stakeholder teams to analyze and provide guidance on complex federal and state AML, sanctions, and fraud requirements, process level assessments, controls and testing, requirement applicability, risk exposure and regulatory exception decisions.

A successful AML Compliance Advisor Manager will possess:

• Deep AML, risk management, or related subject matter experience, preferably related to AML regulatory requirements and expectations and AML program functions

• The ability to understand and effectively challenge processes, breakdowns, controls, risks and mitigation efforts

• A strong sense of autonomy, analysis, and assertiveness, with the ability to see beyond the immediate to identify broader patterns, build consensus and take action

• Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing skills

• Strong project management, process management and organizational skills

• A team-oriented mindset anchored in collaboration, respect and shared responsibility

• Confidence in their ownership of the immediate role with vision beyond their direct areas of responsibility

• Ability to navigate gray space and balance operating independently with strong judgment and a keen sense of when to escalate to leadership

Responsibilities:

• Support the AML Program Risk Office team by providing AML subject matter expertise and effective challenge to a variety of AML processes

• Serve as a primary AML advisor to AML Program functions including the application of requirements, risk assessments, the grounding of risks and exceptions, development of controls and monitoring, business initiatives and other risk management and control activities

• Maintain subject matter expertise of applicable AML and Sanctions laws and regulations such as The Bank Secrecy Act, the USA PATRIOT Act, OFAC regulations and State financial exploitation of vulnerable adults laws

• Monitor, analyze, and apply knowledge of emerging AML trends, including the development of new AML laws, supervisory expectations, red flags and emerging risks

• Identify common themes across data sources to advise on broader trends

• Write and revise documents such as job aids and procedures, develop and enhance processes, tools and templates, build and deliver presentations

• Collaborate proactively and effectively to achieve objectives across multiple organizations and with associates at different levels including the Financial Intelligence Unit, Enterprise Screening and Risk Advisory, Modeling and Advanced Data Insights, Analytics and Innovation, AML Advisory, the AML Program Risk Office, Legal, Internal Audit, Compliance, Risk Management and Senior Leadership

• Support and engage in overall AML Governance team responsibilities and objectives, including contributing to the development of training, supporting audit and regulatory examinations, management reporting, change governance, policy governance, requirement oversight, business continuity, etc.

Basic Qualifications:

• Bachelor's degree or military experience

• At least 3 years of anti-money laundering experience

• At least 4 years of compliance or risk management experience within the financial services industry

• At least 4 years of experience supporting, partnering and interacting with internal business partners

Preferred Qualifications:

• Master's Degree or Juris Doctor

• Anti-Money Laundering, Fraud or Financial Crimes certification (Certified Anti-Money Laundering Specialists (ACAMS), Association of Certified Financial Crime Specialists (ACFCS))

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.

New York City (Hybrid On-Site): $147,800 - $168,700 for Compliance Advisor Manager

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.

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

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).

Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

Minimum Salary: 31200.00 Maximum Salary: 31200.00 Salary Unit: Yearly