Capital One
Compliance Advisor Manager, Anti-Money Laundering (AML)
Capital One, Chicago, Illinois, United States, 60290
West Creek 3 (12073), United States of America, Richmond, VirginiaCompliance Advisor Manager, Anti-Money Laundering (AML)
The Advisory Manager performs a key risk management role (second line of defense) by ensuring that business lines deliver AML strategies compliant with applicable anti-money laundering laws and regulations. The role will collaborate with the line of businesses to deliver AML requirements and monitor compliance with regulatory standards. The Advisory Manager will implement initiatives that continuously improve AML soundness across the line of business. The role will help to establish an effective risk control environment and address regulatory/compliance requirements. While working within the AML Advisory team, the Advisory Manager is responsible for delivering quality results, providing compliance advice to business lines as an AML subject matter expert, and executing or participating in corporate risk management processes.Responsibilities
Plan, coordinate, and facilitate the implementation of the company's compliance processes, procedures, and systems developed to support the global Anti-Money Laundering Compliance Management Program (CMP).
Advise internal management and business partners on the implementation and operation of AML compliance programs, as well as the applicability of compliance requirements to the company's products and services and internal processes, and developing AML compliance controls and monitoring.
Develop and maintain documentation of AML compliance activities, conduct periodic internal reviews or audits to ensure that compliance procedures are followed, and file appropriate compliance reports with regulatory agencies.
Design and implement improvements in communication, monitoring, and enforcement of compliance standards.
Identify compliance issues that require follow-up or investigation and discuss emerging compliance issues with stakeholders.
Consult with legal counsel, accounting specialists, and government relations specialists as necessary to address technical and legal AML compliance issues.
Direct the documentation, implementation, and dissemination of the company's AML compliance policies and procedures and serve as a knowledge source and liaison among stakeholders on AML analysis and compliance issues.
Serve as AML subject matter expert to assist in monitoring company's compliance systems to ensure their effectiveness.
Prepare management reports regarding compliance operations and progress.
Basic Qualifications:
Bachelor's degree or military experience
At least 3 years of Anti-Money Laundering (AML) Compliance experience
At least 3 years of experience in Compliance, Legal, or Audit
Preferred Qualifications:
6+ years in AML Compliance experience
2+ years of Compliance Advisory Experience
Certified Regulatory Compliance Manager (CRCM) Certification, Association of Certified Anti-Money Laundering Specialist (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification
Experience with Canadian AML regulations
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 ManagerCandidates 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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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.
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The Advisory Manager performs a key risk management role (second line of defense) by ensuring that business lines deliver AML strategies compliant with applicable anti-money laundering laws and regulations. The role will collaborate with the line of businesses to deliver AML requirements and monitor compliance with regulatory standards. The Advisory Manager will implement initiatives that continuously improve AML soundness across the line of business. The role will help to establish an effective risk control environment and address regulatory/compliance requirements. While working within the AML Advisory team, the Advisory Manager is responsible for delivering quality results, providing compliance advice to business lines as an AML subject matter expert, and executing or participating in corporate risk management processes.Responsibilities
Plan, coordinate, and facilitate the implementation of the company's compliance processes, procedures, and systems developed to support the global Anti-Money Laundering Compliance Management Program (CMP).
Advise internal management and business partners on the implementation and operation of AML compliance programs, as well as the applicability of compliance requirements to the company's products and services and internal processes, and developing AML compliance controls and monitoring.
Develop and maintain documentation of AML compliance activities, conduct periodic internal reviews or audits to ensure that compliance procedures are followed, and file appropriate compliance reports with regulatory agencies.
Design and implement improvements in communication, monitoring, and enforcement of compliance standards.
Identify compliance issues that require follow-up or investigation and discuss emerging compliance issues with stakeholders.
Consult with legal counsel, accounting specialists, and government relations specialists as necessary to address technical and legal AML compliance issues.
Direct the documentation, implementation, and dissemination of the company's AML compliance policies and procedures and serve as a knowledge source and liaison among stakeholders on AML analysis and compliance issues.
Serve as AML subject matter expert to assist in monitoring company's compliance systems to ensure their effectiveness.
Prepare management reports regarding compliance operations and progress.
Basic Qualifications:
Bachelor's degree or military experience
At least 3 years of Anti-Money Laundering (AML) Compliance experience
At least 3 years of experience in Compliance, Legal, or Audit
Preferred Qualifications:
6+ years in AML Compliance experience
2+ years of Compliance Advisory Experience
Certified Regulatory Compliance Manager (CRCM) Certification, Association of Certified Anti-Money Laundering Specialist (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification
Experience with Canadian AML regulations
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 ManagerCandidates 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.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.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.
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