Capital One Anti-Money Laundering AML Fraud Compliance Advisor Manager United States, New York, New York 380994061
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The Compliance Advisor Manager supports the line of business by:
Providing input on business AML regulatory requirements
Providing guidance on business policies, standards, and procedures
Leading and reviewing department training, as appropriate
Providing AML compliance advice on complex projects
Providing guidance on controls over regulatory AML requirements and line of business monitoring of those controls
Managing targeted tests on lines of business controls and providing guidance on identified risks
Partnering with other second line of defense functions, such as Enterprise External Fraud, to provide effective challenge to lines of business on the design and execution of their fraud programs
Responsibilities:
Review issues generated by lines of business and provide guidance on remediation; escalate and facilitate with subject matter experts, when necessary
Identify trends in data and advise on identified AML compliance emerging risks
Maintain subject matter expertise of applicable AML laws and regulations and fraud trends and typologies
Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
Perform and review control assessments executed by peers for accuracy and adherence to test procedures
Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for AML compliance impacts
Provide effective challenge and guidance on AML compliance risks and support lines of business through execution of large initiatives, such as new product launches and mergers, as well as regular interactions and forum engagements
Advise lines of business on application of AML 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
Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
Support lines of business through expert advice, influencing adjustments to the processes, procedures, and controls
Conduct targeted validations and reviews on controls over applicable AML regulations
Active involvement with compliance testing and third-party compliance
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate compliance risk management
Flexibility to periodically travel to various Capital One locations, as necessary
Basic Qualifications:
Bachelor’s Degree or military experience
At least 5 years of experience in a fraud or Anti-Money Laundering (AML) role OR at least 5 years of experience in an audit or legal role supporting fraud or Anti-Money Laundering (AML)
At least 5 years of experience supporting, partnering and interacting with internal business clients
Preferred Qualifications:
3+ years of experience with credit card fraud
3+ years of experience in an advisory or consultant capacity
6+ years of experience in a fraud or Anti-Money Laundering (AML) role OR 6+ years of experience in an audit or legal role supporting fraud or Anti-Money Laundering (AML)
Certified Fraud Examiner (CFE), Certified Regulatory Compliance Manager (CRCM), Association of Certified Financial Crime Specialists (CFCS), or Association of Certified Anti-Money Laundering Specialists (ACAMS) certification
. 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.
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