Manager, AML Compliance Assessment

Capital One Mclean , VA 22107

Posted 2 months ago

McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Manager, AML Compliance Assessment

Summary:
As a Compliance Manager at Capital One you'll be challenged by working with business partners to conduct enterprise wide money laundering and sanctions risk assessments. Assessments are conducted in accordance with a standardized framework and methodology, the purpose of which is to understand the level of inherent AML compliance and sanctions risk exposure associated with Capital One's business segments, assess controls, and ensure residual risk remains within tolerance. Compliance Managers at Capital One provide guidance to key stakeholders to ensure our risk is well managed and our company remains stable and profitable. They gain a high level of exposure across lines of business and have the opportunity to work with executives, compliance partners, regulators, auditors and other key constituents.

Responsibilities:

  • Assess the inherent money laundering and sanctions risk and controls though the established risk and control framework

  • Work with data analysts to source data required to support AML inherent risk metrics

  • Assess the company's collective ability to monitor and control inherent AML and sanctions risk

  • Develop, socialize, and present risk assessment results to executive management and other key stakeholders

  • Conduct detailed reviews of high risk areas

  • Suggest risk mitigation strategies to business areas and other control functions

  • Maintain detailed policies and procedures related to the risk assessment process

  • Continuously improve the framework, methodology, processes and reporting

  • Stay abreast of all applicable laws, regulations and emerging risks for consideration in the risk assessment process

  • Gain a detailed knowledge of the enterprise customer base, products, services, transactions, geographies, business initiatives, processes, strategies and associated controls

  • Ensure results of the risk assessment are tracked until remediated in accordance with corporate compliance standards

  • Routinely communicate and report the state of AML Compliance risk

  • Assist in audits and exams

  • May also manage other associates

Basic Qualifications:

  • Bachelor's degree or military experience

  • At least 5 years of experience in AML (Anti-Money Laundering) or at least 5 years of experience in Risk Management, specifically within financial services

Preferred Qualifications:

  • 7 years of experience in AML compliance, specifically within financial services
  • CRCM certification, or ACAMS certification, or CIPP certification
  • 2 years of experience in people management
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Manager, AML Compliance Assessment

Capital One