Principal AML Compliance Advisor, AML -KYC Data Management

Location: Chicago, IL 60695

Position Summary

Role: Principal AML Compliance Advisor, AML -KYC Data Management. Serving in a second-line-of-defense capacity, you help ensure that corporate initiatives and business processes align with applicable laws and regulations within the AML Program framework. You will contribute to delivering quality outcomes by supporting AML Advisory activities, offering guidance on regulatory requirements, updating policies and procedures, reviewing targeted or ad hoc training, advising on projects, and testing controls over regulatory obligations and monitoring, with guidance provided on identified risks.

Key Responsibilities

• Provide effective challenge and guidance on compliance risks, supporting AML Advisors across various interactions and forum settings
• Assist AML Advisory in applying regulatory requirements to the business, including new products, process development, control design and monitoring, remediation of compliance issues, and regulatory changes
• Maintain consistency in messaging by documenting advisory decisions and determinations
• Develop a solid understanding of applicable laws and regulations
• Support the evaluation of Internal Audit, Regulatory Examinations, and self-identified issues for compliance impact
• Assist AML Advisory by advising on process, procedure, and control adjustments to address compliance needs
• Coordinate with internal and external bank personnel to complete program attestations required for external relationships
• Maintain a strong understanding of the Compliance Risk Management Framework and relevant laws
• Identify data trends that may indicate potential risk impacts
• Assist in capturing, maintaining, and analyzing compliance data, interpreting results to ensure consistent Compliance Risk Management
• Assist with updating AML-owned procedures

Required Qualifications

• Bachelor's Degree or Military Experience
• At least 3 years of regulatory compliance experience, or at least 3 years of risk management experience, or at least 6 years of experience in the financial services industry
• At least 3 years of Anti-Money Laundering (AML) compliance experience
• At least 3 years of Tableau software experience

Preferred Qualifications

• Bachelor's Degree in Business Management, Compliance, Risk, Legal, Finance, Accounting, or a related field
• 4+ years of regulatory compliance experience, or risk management experience, or financial services industry experience
• 4+ years of experience in financial services, or AML functions, or compliance risk management, or AML project management
• Previous experience supporting programs with senior leaders and external stakeholders
• 4+ years of experience with Tableau and SQL
• Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification

Sponsorship

Capital One will not sponsor new applicants for employment authorization for this position at this time.

Salary Information

The annual salary range provided applies to full-time roles at the listed locations and reflects the amount Capital One is prepared to pay at the time of posting. Part-time roles will be prorated based on the agreed-upon hours.

Salary by Location

• Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III
• Chicago, IL: $109,900 - $125,400 for Compliance Advisory Specialist III
• McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III
• Plano, TX: $109,900 - $125,400 for Compliance Advisory Specialist I