Compliance Advisor Manager - Know Your Customer
The Know Your Customer (KYC) Advisor Manager, performs a key risk management role (second line of defense) by ensuring that business lines deliver KYC strategies compliant with applicable anti-money laundering laws and regulations. The role will collaborate across multiple lines of businesses and teams to deliver KYC requirements and monitor compliance with regulatory standards. The KYC Manager will implement initiatives that continuously improve KYC soundness across the enterprise. The role will help to establish an effective risk control environment and address regulatory/compliance requirements. While working within the KYC Program Management team, the KYC Manager is responsible for delivering quality results, providing compliance advice to business lines as a KYC subject matter expert, and executing or participating in corporate risk management processes.
Responsibilities:****
Maintain subject matter expertise of applicable anti-money laundering laws and regulations and support business lines by providing guidance on Know Your Customer (KYC) compliance requirements
Establish enterprise Know Your Customer (KYC) standard/policy intent and review new/revised business line KYC policies, standards and procedures to ensure alignment
Ensure Know Your Customer (KYC) standard/policy is consistently applied across the lines of business
Direct Know Your Customer (KYC) assessments to identify and address Know Your Customer (KYC) gaps and areas of opportunities
Assess operational breakdowns for Know Your Customer (KYC) compliance risks and uncover data issues with significant Know Your Customer (KYC) implications
Leverage understanding of systems, data, and processes to identify root causes for Know Your Customer (KYC) issues and recommend/lead related remediation efforts
Ensure preventive and detective Know Your Customer (KYC) controls and monitoring programs are in place and provide adequate coverage
Provide effective challenge and guidance on Know Your Customer (KYC) compliance risks and support business line through various interactions and forums; influence changes to processes, procedures, and controls to mitigate Know Your Customer (KYC) compliance risk
Review business line training materials with Know Your Customer (KYC) compliance related content for accuracy and completeness
Support and communicate compliance risk appetite and key performance metrics to business lines
Evaluate Audit, regulatory exam, and self-identified issues and events for KYC compliance impacts
Monitor external Know Your Customer (KYC) compliance environment, emerging risks, and regulatory focus areas
Analyze root causes of Know Your Customer (KYC) compliance and risk issues
Basic Qualifications:****
Bachelor’s Degree or military experience
At least 6 years of Know Your Customer (KYC) compliance or Know Your Participant (KYP) experience
At least 6 years of experience in financial services, or Anti-Money Laundering (AML) functions, or compliance risk management, or Anti-Money Laundering (AML) project management.
Preferred Qualifications_:_
8+ years of Know Your Customer (KYC) compliance or Know Your Participant (KYP) experience
8+ years of experience in financial services, or Anti-Money Laundering (AML) functions, or compliance risk management, or Anti-Money Laundering (AML) project management.
Previous experience supporting programs where senior leaders and external stakeholders are your customers
Certified Anti-Money Laundering Specialist (CAMS)
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.
Chicago, IL: $138,100 - $157,700 for Compliance Advisor Manager
McLean, VA: $151,900 - $173,400 for Compliance Advisor Manager
Plano, TX: $138,100 - $157,700 for Compliance Advisor Manager
Richmond, VA: $138,100 - $157,700 for Compliance Advisor Manager
Wilmington, DE: $138,100 - $157,700 for Compliance Advisor Manager
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.
This 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.
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.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com
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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).