Capital One Compliance Advisory Specialist III 

United States, Virginia, Richmond 

646382779

Compliance Advisory Specialist III

Responsibilities:

• Serve as a credible business advisor and partner representing the sanctions compliance and list screening program to all Capital One businesses

• Effectively understand and challenge processes, breakdowns, controls, risks and mitigation efforts

• Maintain knowledge of sanctions laws and regulations and provide regulatory expertise and interpretation to a diverse group of risk functions and business leaders

• Build partnerships and collaborate with business, technology, analytics, legal, and other stakeholders to reach optimal business and risk management outcomes in a dynamic and fast-moving environment

• Effectively liaise, engage, and communicate with AML and business stakeholders when control gaps are identified, build consensus, take action and/or refer potential work to the appropriate stakeholders

• Coordinate with cross-functional teams to accomplish shared objectives, including enterprise risk assessments, and during periodic regulatory exams and audits

• Develop and revise documents such as job aids, standards, and procedures

• Participate in and perform compliance risk assessments for various business initiatives

• Support the management of issues with the businesses and risk offices as they arise

• Anticipate, identify, and escalate risk scenarios where needed and propose potential mitigations and remediations

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 2 years of experience in sanctions compliance, legal, audit, or risk management

Preferred Qualifications:

• Master’s Degree

• 3+ years of experience in Banking and Financial Services

• 3+ years of experience working with internal business clients

• 2+ years of experience working in payments

• Certified Anti-Money Laundering Specialists (ACAMS) and/or Certified Global Sanctions Specialist (CGSS) certifications

• Experience in Sanctions Risk Management and Compliance

• Proven ability to communicate, collaborate, and manage relationships with internal and external stakeholders at various levels in a matrixed organization

• Strong written and verbal communication skills

• High energy and a desire to work in a results-oriented, rapid growth environment

• Team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills

• Ability to prioritize among many conflicting needs, advocate a course of action, and pursue it consistently, while remaining flexible and responsive to dynamic situations

• Demonstrated ability to think strategically

• Experience working in or with the Federal Government.

Chicago, IL: $106,700 - $121,700 for Compliance Advisory Specialist III McLean, VA: $117,300 - $133,900 for Compliance Advisory Specialist III Melville, NY: $128,000 - $146,100 for Compliance Advisory Specialist III New Orleans, LA: $106,700 - $121,700 for Compliance Advisory Specialist III New York, NY: $128,000 - $146,100 for Compliance Advisory Specialist III Plano, TX: $106,700 - $121,700 for Compliance Advisory Specialist III Richmond, VA: $106,700 - $121,700 for Compliance Advisory Specialist III Wilmington, DE: $106,700 - $121,700 for Compliance Advisory Specialist IIIThis 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.

. 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 . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.