Principal AML Compliance Advisor, AML -KYC Data Management
Capital One
Principal AML Compliance Advisor, AML -KYC Data Management
Job Description
Overview
The Principal Compliance Advisory Associate 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 AML (Anti-Money Laundering) Program framework, the associate is responsible for delivering quality results by:Supporting AML Advisory processes by providing input on business regulatory requirements; providing guidance on business policies, standards, and procedures and ensuring the maintenance of Advisory related procedures; reviewing targeted and ad hoc training, as appropriate; providing compliance advice on projects; providing guidance on controls over regulatory requirements and line of business monitoring of those controls; and performing targeted tests on lines of business controls and provide guidance on identified risks.Responsibilities:Provide effective challenge and guidance on compliance risks and support Advisors through various interactions and forum engagements
Assist in advising AML Advisory 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
Maintain Advisory related decisions and determinations to ensure consistency in messaging and conclusions
Develop strong understanding of applicable laws and regulations
Support the evaluation of Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
Support AML Advisory through advice, influence adjustments to the processes, procedures, and control
Liaison with internal and external Bank personnel to ensure completion of program attestations required to maintain external relationships
Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations
Identify trends in data for potential risk impacts
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
Assist with the updating of AML owned procedures
Bachelor's Degree or Military Experience
At least 3 years of regulatory compliance experience, or at least 3 years of risk management experience, or at least 6 years of financial services industry experience
At least 3 years of Anti-Money Laundering (AML) compliance experience
At least 3 years of Tableau software experience
Bachelor's Degree in Business Management, Compliance, Risk, Legal, or Finance, Accounting or a related field
4+ years of regulatory compliance experience, or risk management experience, or financial services industry experience
4+ years of experience in financial services, or AML functions, or compliance risk management, or AML project management
Previous experience supporting programs where senior leaders and external stakeholders are your customers
4+ years of experience of Tableau and Structured Query Language (SQL)
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.
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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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.comCapital 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).
Locations
- Plano, Texas, United States
- Chicago, Illinois, United States
- Richmond, Virginia, United States
- Wilmington, Delaware, United States
- McLean, Virginia Plano, TexasRichmond
Salary
45,000 - 80,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Anti-Money Laundering (AML) complianceintermediate
- Tableau softwareintermediate
- Regulatory complianceintermediate
- Compliance risk managementintermediate
- Data analysis and trend identificationintermediate
- Structured Query Language (SQL)intermediate
Required Qualifications
- Bachelor's Degree or Military Experience (experience)
- At least 3 years of regulatory compliance experience, or risk management experience, or 6 years of financial services industry experience (experience)
- At least 3 years of Anti-Money Laundering (AML) compliance experience (experience)
- At least 3 years of Tableau software experience (experience)
- Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification (preferred) (experience)
Responsibilities
- Provide effective challenge and guidance on compliance risks
- Assist in advising AML Advisory on application of Compliance requirements
- Maintain Advisory related decisions and determinations
- Develop strong understanding of applicable laws and regulations
- Support evaluation of Internal Audit, Regulatory Exam, and self-identified issues
- Identify trends in data for potential risk impacts
- Assist in capturing, maintaining, and analyzing compliance data
Benefits
- general: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Principal AML Compliance Advisor, AML -KYC Data Management @ Capital One.
Related Books and Jobs
Principal AML Compliance Advisor, AML -KYC Data Management
Capital One
Principal AML Compliance Advisor, AML -KYC Data Management
Job Description
Overview
The Principal Compliance Advisory Associate 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 AML (Anti-Money Laundering) Program framework, the associate is responsible for delivering quality results by:Supporting AML Advisory processes by providing input on business regulatory requirements; providing guidance on business policies, standards, and procedures and ensuring the maintenance of Advisory related procedures; reviewing targeted and ad hoc training, as appropriate; providing compliance advice on projects; providing guidance on controls over regulatory requirements and line of business monitoring of those controls; and performing targeted tests on lines of business controls and provide guidance on identified risks.Responsibilities:Provide effective challenge and guidance on compliance risks and support Advisors through various interactions and forum engagements
Assist in advising AML Advisory 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
Maintain Advisory related decisions and determinations to ensure consistency in messaging and conclusions
Develop strong understanding of applicable laws and regulations
Support the evaluation of Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
Support AML Advisory through advice, influence adjustments to the processes, procedures, and control
Liaison with internal and external Bank personnel to ensure completion of program attestations required to maintain external relationships
Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations
Identify trends in data for potential risk impacts
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
Assist with the updating of AML owned procedures
Bachelor's Degree or Military Experience
At least 3 years of regulatory compliance experience, or at least 3 years of risk management experience, or at least 6 years of financial services industry experience
At least 3 years of Anti-Money Laundering (AML) compliance experience
At least 3 years of Tableau software experience
Bachelor's Degree in Business Management, Compliance, Risk, Legal, or Finance, Accounting or a related field
4+ years of regulatory compliance experience, or risk management experience, or financial services industry experience
4+ years of experience in financial services, or AML functions, or compliance risk management, or AML project management
Previous experience supporting programs where senior leaders and external stakeholders are your customers
4+ years of experience of Tableau and Structured Query Language (SQL)
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.
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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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.comCapital 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).
Locations
- Plano, Texas, United States
- Chicago, Illinois, United States
- Richmond, Virginia, United States
- Wilmington, Delaware, United States
- McLean, Virginia Plano, TexasRichmond
Salary
45,000 - 80,000 USD / yearly
* This is an estimated range based on market data and may vary based on experience and qualifications.
Skills Required
- Anti-Money Laundering (AML) complianceintermediate
- Tableau softwareintermediate
- Regulatory complianceintermediate
- Compliance risk managementintermediate
- Data analysis and trend identificationintermediate
- Structured Query Language (SQL)intermediate
Required Qualifications
- Bachelor's Degree or Military Experience (experience)
- At least 3 years of regulatory compliance experience, or risk management experience, or 6 years of financial services industry experience (experience)
- At least 3 years of Anti-Money Laundering (AML) compliance experience (experience)
- At least 3 years of Tableau software experience (experience)
- Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification (preferred) (experience)
Responsibilities
- Provide effective challenge and guidance on compliance risks
- Assist in advising AML Advisory on application of Compliance requirements
- Maintain Advisory related decisions and determinations
- Develop strong understanding of applicable laws and regulations
- Support evaluation of Internal Audit, Regulatory Exam, and self-identified issues
- Identify trends in data for potential risk impacts
- Assist in capturing, maintaining, and analyzing compliance data
Benefits
- general: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Answer 10 quick questions to check your fit for Principal AML Compliance Advisor, AML -KYC Data Management @ Capital One.
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