Compliance Advisor Manager

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

Preferred Qualifications

Capital One is an equal opportunity employer (EOE, including disability / vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.

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