Compliance Advisory Specialist III

The Sanctions Compliance and Screening program is a core risk function within Capital One's Anti-Money Laundering Department. This Group serves as a second line of defense and operates certain first line of defense controls for Capital One's Lines of Business. Capital One has a highly motivated, mission driven AML and Sanctions team focused on enabling rigorous, nimble, and sustainable risk management.

Capital One is seeking a Principal Associate within its Enterprise Screening and Sanctions Risk Management function joining our Sanctions and Risk Advisory team. We are seeking a results oriented candidate with the experience, subject matter expertise, and proven effectiveness in a highly regulated environment to join a high-performing team.

The Principal Associate will have a key risk management role within the second line of defense to help ensure corporate initiatives and lines of business processes comply with applicable sanctions laws and regulations. This role will also provide sanctions compliance advice and expertise regarding business strategy and new products and services to leaders across our growing businesses. The Principal Associate will be responsible for supporting the onboarding of new products and/or lines of business by providing guidance on sanctions risks and designing sanctions-related controls. The associate will also lead projects, process improvements, perform risk assessments, and have significant interactions with Legal, Compliance, Lines of Business, and other teams across the enterprise.

The successful candidate will be self-starting and entrepreneurial, seeing around corners to identify tomorrow's risks, and able to integrate themselves seamlessly into existing and emerging business lines. The Principal Associate will leverage strong analytical skills to ensure all components of the compliance program are in place and operating effectively with respect to the business areas for which the team is responsible.

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.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. 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 RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).