Compliance Advisor Manager - Know Your Customer
About The Position
Compliance Advisor Manager - Know Your Customer The Know Your Customer (KYC) Advisor Manager, performs a key risk management role (second line of defense) by ensuring that business lines deliver KYC strategies compliant with applicable anti-money laundering laws and regulations. The role will collaborate across multiple lines of businesses and teams to deliver KYC requirements and monitor compliance with regulatory standards. The KYC Manager will implement initiatives that continuously improve KYC soundness across the enterprise. The role will help to establish an effective risk control environment and address regulatory/compliance requirements. While working within the KYC Program Management team, the KYC Manager is responsible for delivering quality results, providing compliance advice to business lines as a KYC subject matter expert, and executing or participating in corporate risk management processes.
Requirements
- Bachelor’s Degree or military experience
- At least 6 years of Know Your Customer (KYC) compliance experience
- At least 6 years of experience in financial services, or Anti-Money Laundering (AML) functions, or compliance risk management, or Anti-Money Laundering (AML) project management.
Nice To Haves
- 8+ years of Know Your Customer (KYC) compliance experience
- 8+ years of experience in financial services, or Anti-Money Laundering (AML) functions, or compliance risk management, or Anti-Money Laundering (AML) project management.
- Previous experience supporting programs where senior leaders and external stakeholders are your customers
- Certified Anti-Money Laundering Specialist (CAMS)
Responsibilities
- Maintain subject matter expertise of applicable anti-money laundering laws and regulations and support business lines by providing guidance on Know Your Customer (KYC) compliance requirements
- Establish enterprise Know Your Customer (KYC) standard/policy intent and review new/revised business line KYC policies, standards and procedures to ensure alignment
- Ensure Know Your Customer (KYC) standard/policy is consistently applied across the lines of business
- Direct Know Your Customer (KYC) assessments to identify and address Know Your Customer (KYC) gaps and areas of opportunities
- Assess operational breakdowns for Know Your Customer (KYC) compliance risks and uncover data issues with significant Know Your Customer (KYC) implications
- Leverage understanding of systems, data, and processes to identify root causes for Know Your Customer (KYC) issues and recommend/lead related remediation efforts
- Ensure preventive and detective Know Your Customer (KYC) controls and monitoring programs are in place and provide adequate coverage
- Provide effective challenge and guidance on Know Your Customer (KYC) compliance risks and support business line through various interactions and forums; influence changes to processes, procedures, and controls to mitigate Know Your Customer (KYC) compliance risk
- Review business line training materials with Know Your Customer (KYC) compliance related content for accuracy and completeness
- Support and communicate compliance risk appetite and key performance metrics to business lines
- Evaluate Audit, regulatory exam, and self-identified issues and events for KYC compliance impacts
- Monitor external Know Your Customer (KYC) compliance environment, emerging risks, and regulatory focus areas
- Analyze root causes of Know Your Customer (KYC) compliance and risk issues
Benefits
- Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
