Overview Director, Commercial Banking AML Advisory - Capital One Job ID R69333 Updated date 03 / 01 / 2019 Location Melville, New York; McLean, Virginia; Richmond, Virginia; New York, New York. NYC 299 Park Avenue (22957), United States of America, New York, New York Capital One is building a leading information-based technology company. We are guided by our shared values and strive for collaboration, openness, and innovation. We are focused on helping customers succeed and changing banking for good. Director, Commercial Banking AML Advisory The Anti-Money Laundering (AML) Commercial Advisory Director 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. Within the AML Program framework, the AML Commercial Advisory Director is responsible for driving and delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in compliant processes. The role supports the commercial sub-line of business with guidance by: Providing input on business regulatory requirements Providing guidance on business policies, standards, and procedures Developing and leading department training, as appropriate Providing compliance advice on complex projects Guiding controls over regulatory requirements and line of business monitoring Performing money laundering risk assessment reviews Directly engaging and influencing business stakeholders to ensure AML requirements are addressed and adhered to within the line of business Supporting the Capital One Commercial sub-lines of business Responsibilities Review inquiries from lines of business 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 Maintain subject matter expertise of applicable laws and regulations Engage in Audit, Regulatory, and other reviews of the AML program Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements Advise lines of business on the application of compliance requirements (e.g., new products, process development, development of controls and monitoring, remediation / corrective action of compliance breakdowns, and change in law or regulation) Assist lines of business in developing and maintaining the Compliance Program, including how to monitor, report, and train Support lines of business through expert advice and influence adjustments to processes, procedures, and controls Direct oversight to primary advisor supporting Capital One Securities and Investment Banking Maintain expertise in the Compliance Risk Management Framework and applicable laws and regulations Capture, maintain, and analyze compliance data to ensure consistency and adequate Compliance Risk Management Participate in reporting activities (e.g., NULAW, NPMIG, and other reports used by Senior Leadership) Travel to various Capital One locations as necessary Common Fields of Study Finance Accounting / Auditing Business Management Typical Experience / Skills Ability to produce results and influence decisions through active engagement Expert knowledge of regulations Exceptional problem-solving and conceptual skills Strong written and verbal communication skills Exceptional negotiation and leadership skills Willingness to pursue compliance certifications if not already certified Autonomy and Supervisory Responsibilities Level of Supervision: Work independently with supervisory guidance as needed; independent decision-making Capabilities Ability to set direction, manage expectations, and lead cross-functional teams Typically Reports to: Senior Director Basic Qualifications At least 5 years of experience in Anti-Money Laundering (AML) compliance, or at least 5 years of experience in legal, or at least 5 years of experience in general regulatory compliance, legal, controls or audit with AML as a component At least 5 years of experience supporting, partnering, and interacting with internal business clients in commercial banking, or at least 7 years of experience supporting, partnering and interacting with internal business clients in the broader financial services industry Bachelor's degree or military experience Preferred Qualifications 10 years of experience in compliance, legal, controls or audit ACAMS certifications Master's Degree, or Juris Doctor (JD) 3 years of experience in securities 3 years of experience in investment banking At this time, Capital One will not sponsor a new applicant for employment authorization for this position. No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity / assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. 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. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations. For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site. 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).
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