Senior Risk Compliance Testing Associate - Anti-Money Laundering and Sanctions

Capital One
Richmond, Virginia, United States
Mar 11, 2023
Apr 10, 2023
Full Time
West Creek 3 (12073), United States of America, Richmond, Virginia

Senior Risk Compliance Testing Associate - Anti-Money Laundering and Sanctions

Title: Senior Risk Compliance Testing Associate - Anti-Money Laundering and Sanctions

Level: Senior Associate

The Anti-money Laundering (AML) team is seeking an experienced Senior Associate who will be responsible for executing risk-based compliance testing related to AML or Sanctions requirements. Under the leadership of a team leader, the Senior Associate will independently validate control design and operating effectiveness, actively provide support related to process and controls initiatives within the AML program and advise the Lines of Business (LOBs) on best practices , as needed.

Responsibilities will include (but may not be limited to):
  • Executing control testing for AML and Sanctions related requirements.
  • Managing testing schedules to ensure all tasks and reporting are completed within established timeframes.
  • Analyzing data from multiple sources and systematically documenting the work performed and results.
  • Reviewing tests executed by first line of defense (1LOD) for accuracy, completeness and adherence to test procedures.
  • Assisting in compiling testing results and communicating results to stakeholders, including but not limited to , management, Compliance Officers, etc.
  • Establishing and maintaining strong relationships with Compliance Advisors and LOBs, as needed.
  • Participate in processes and control initiatives, as needed.

Basic Qualifications:
  • High School Diploma, GED or equivalent certification
  • At least 1 year of financial services Anti-Money Laundering (AML) compliance experience, or at least 1 year of compliance testing/audit experience
  • At least 2 years of Data Analytics using Tableau, SQL, or other analytics tools

Preferred Qualifications:
  • 2 years of financial services Anti-Money Laundering (AML) compliance monitoring, testing and/or audit experience
  • Understanding of script governance and change management expectations
  • Bachelor's degree

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

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.

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.

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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).