TMO Fraud Compliance Advisory Specialist I, Wilmington, DE, DE, US

TMO Fraud Compliance Advisory Specialist I

The Compliance Advisory Specialist I 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 Compliance Advisory Specialist I is responsible for delivering quality results, assisting others in providing compliance and control related advice to lines of business, and executing or participating in corporate processes.
 

Responsibilities:

• Support senior advisors in effective challenge and preparation for various forum interactions

• Work with senior advisors to support lines of business in the 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

• Monitor “Always On” ICTT testing results and remediate any issues in close coordination with the AML TMO Fraud leadership team

• Review control and operational reports that may result in case creation for AML TMO Fraud investigations

• Participate in targeted validations on controls over applicable regulations and compliance testing

• Perform User Acceptance Testing (UAT) to confirm intent is met when updates are made to operating locations, systems/tools, processes or code/scripts that could have an impact on Capital One’s ability to comply with the Bank Secrecy Act (BSA).

• Investigate system generated alerts to assess presence of illicit activity that may require reporting based on Bank Secrecy Act (BSA)/AML requirements and escalate for appropriate investigation and analysis

• Develop understanding of Compliance Risk Management Framework and applicable laws and regulations

Location: This role is hybrid, where you will be expected to spend 3 days per week working in the office and the remainder of the week working virtually.
 

Basic Qualifications:

• High School Diploma, GED, or equivalent certification

• At least 1 year of experience in Anti-Money Laundering (AML) or Fraud

• At least 1 year experience with Microsoft Office or Google Suite

Preferred Qualifications:

• Bachelor’s Degree

• 3+ years of experience in Anti-Money Laundering (AML),  Fraud, or Risk Management

• Certified Fraud Examiner (CFE), Association of Certified Anti-Money Laundering Specialists (ACAMS), Certified Financial Crimes Investigator (CFCI), or other relevant industry-related certification

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Plano, TX: $72,800 - $83,100 for Compliance Advisory Specialist I

 

Chicago, IL: $72,800 - $83,100 for Compliance Advisory Specialist I

 

Jericho, NY: $87,400 - $99,700 for Compliance Advisory Specialist I

 

McLean, VA: $80,100 - $91,400 for Compliance Advisory Specialist I

 

New Orleans, LA: $72,800 - $83,100 for Compliance Advisory Specialist I

 

New York, NY: $87,400 - $99,700 for Compliance Advisory Specialist I

 

Richmond, VA: $72,800 - $83,100 for Compliance Advisory Specialist I

 

Riverwoods, IL: $72,800 - $83,100 for Compliance Advisory Specialist I

 

Wilmington, DE: $72,800 - $83,100 for Compliance Advisory Specialist I

 

 

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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

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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).