Senior Compliance Advisory Associate – AML Shared Services

  • Company: Capital One
  • Location: Wilmington, Delaware
  • Posted: January 27, 2017
  • Reference ID: R18392
Oliver Evans (18222), United States of America, Wilmington, Delaware

Senior Compliance Advisory Associate – AML Shared Services

Job Level: Sr. Associate

The Senior Compliance Advisory Associate 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 AML (Anti-Money Laundering) Program framework, the associate is responsible for delivering quality results by:

Supporting AML Advisory processes from beginning to end to ensure output/product meets expectations pertaining to turn around times, customer service level, quality, quantity, etc. Identifies process enhancements and monitors implementation.

Support the creation and execution of project work plans and revises as appropriate to meet risk issue requirements. Identifies resources needed and assigns individual responsibilities. Manages day-to-day operational aspects of a project and scope. Minimizes our exposure and risk on projects. Ensures project documents are complete, current, and stored appropriately

-Plan, design and manage project plans, design, solution and implementation of risk issues and remediation
-Identify issues, process improvements, and solutions
-Ongoing support for processes and systems

-Create and/or validate processes associated within AML Advisory

-Design and produce reports/forms/metrics used to support department efficiency and effectiveness
-Review inquiries from lines of business and Advisors and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
-Identify trends in data and proactively advise on identified external and internal risks
-Assist Advisors in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
-Support Advisors through expert advice, influence adjustments to the processes, procedures, and controls
-Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
-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 1 year experience in Compliance, or at least 1 year experience in Risk Management, or at least 1 year experience in Process Management

Preferred Qualifications:
-Bachelor’s Degree
-At least 3 years experience in Compliance, or 3 years experience in Risk Management, or 3 years experience in Process Management

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

Share this Job