Capital One Compliance Advisor Manager 

United States, Texas, Plano 

944197134

Plano 5 (31065), United States of America, Plano, Texas Compliance Advisor Manager

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))

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

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.