Compliance Assurance Review Manager - AML/BSA

Job Description:
This important role is part of the Corporate Compliance Horizontal Operations team which provides support to the Chief Compliance Officer and the AML Corporate Compliance team.

The team is seeking an experienced Manager for the Compliance Assurance Review (CAR) team. This position is primarily responsible for validating the design implementation of compliance controls and remediation actions in preparation for audits and examinations to ascertain the business lines’ overall adherence to US and Canadian anti-money laundering-related requirements. The position will also include responsibility to assist with testing and monitoring for adherence to consumer and commercial lending and deposits requirements as necessary.

Responsibilities:

--Design test plans and analyze data from multiple sources to evaluate processes and controls against AML regulatory requirements and guidance—make recommendations for strengthening the design and/or execution of controls as needed. Businesses to be evaluated include, but are not limited to: horizontal AML operations, retail banking, consumer lending and deposits, commercial and private banking, broker/dealer, and trust/wealth management
--Design and execute testing to validate the implementation corrective action plans aimed at mitigating compliance risk.
--Ensure all individual work product is documented accurately and can be leveraged for internal audits or external examinations.
--Support the CAR Senior Director in reporting results of assessments and evaluations to AML Compliance and Line of Business Senior Management; consult in the design of remediation efforts as needed.
--Establish and maintain highly effective partnerships with AML Compliance and Line of Business leaders and staff.
--Engage with internal auditors and legal counsel as needed.
--Support the design and implementation of the Compliance Management Program.
--Maintain the highest professional standards.

Job Experience:
Basic Qualifications

• 4 year college degree
• 3 years of AML/BSA, Patriot Act and OFAC auditing or examination experience in a large, complex financial institution (e.g. retail, broker dealer, mutual fund, etc).
• 2 years of work experience focused on the application of AML/BSA, Patriot Act, and OFAC requirements

Preferred Qualifications

• 4+ years of financial services AML and consumer and commercial compliance monitoring, auditing or examination experience
• 2+ years of work experience within retail banking operations, both deposits and lending
• CRCM and/or CIPP Certification (if not, willingness to pursue)
• Proven analytical abilities
• Strong communication skills
• Self-directed; ability to develop schedules/project plans and work autonomously to meet deadlines, as well as work effectively in teams/cross functional groups
• Attention to detail
• Ability to manage frequently changing demands and in a highly matrixed environment.
• Working knowledge of and ability to apply MS Office applications such as Word and Excel.

Capital One will not file non-immigrant visa petitions for alien workers.
As a recipient of TARP funding and under ARRA regulations, Capital One will not sponsor new H-1B petitions or transfer existing H1B Visas.

No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.

Expected Travel Time: None