Principal Compliance Advisor – AML Shared Services

  • Company: Capital One
  • Location: Wilmington, Delaware
  • Posted: January 27, 2017
  • Reference ID: R18391
Oliver Evans (18222), United States of America, Wilmington, Delaware

Principal Compliance Advisor – AML Shared Services

Job Level: Principal Associate

The Principal Compliance Advisor, performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Principal Compliance Advisor is responsible for delivering quality results, providing compliance advice to lines of business, and executing or participating in corporate processes.

The Principal Compliance Advisor will support lines of business by:
-Providing input on business regulatory requirements;
-Providing guidance on business policies, standards, and procedures;
-Leading and reviewing department training, as appropriate;
-Providing compliance advice on projects;
-Providing guidance on controls over regulatory requirements and line of business monitoring of those controls;
-Performing targeted tests on lines of business controls and provide guidance on identified risks

-Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
-Advise lines of business and Advisory on application of 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
-Advise lines of business and Advisory in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
-Develop strong understanding of applicable laws and regulations
-Support the evaluation of Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
-Support lines of business and Advisory through advice, influence adjustments to the processes, procedures, and controls
-Conduct targeted validations on controls over applicable regulations
-Perform and review control assessments executed by peers for accuracy and adherence to test procedures
-Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations
-Identify trends in data for potential risk impacts
-Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

Basic Qualifications:
-High School Diploma, GED or equivalent certification, or Military experience
-At least 3 years of experience in Compliance Management or at least 3 years of experience in Risk Management

Preferred Qualifications:
-Bachelor’s Degree
-5 years experience of Compliance Management, or 5 years experience in Risk Management

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

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