Compliance Advisory Finance Jobs

1 job found

6mo ago

Principal AML Compliance Advisor, AML -KYC Data Management

Capital One Plano, TX

Plano, TX

6mo ago Closed

$110k - $125k/yr Full time Advisor AML Anti-Money Laundering

This position is no longer accepting applications (closed Apr 18, 2026).

Job Description

Overview

The Principal AML Compliance Advisor role focuses on AML and KYC data management, serving in the second line of defense to help ensure that corporate initiatives and business processes comply with applicable laws and regulations. Within the AML program framework, the position delivers quality outcomes by supporting AML Advisory activities, guiding policies, standards, and procedures, maintaining related procedures, reviewing targeted and ad hoc training, offering compliance guidance on projects, advising on controls for regulatory requirements and monitoring across lines of business, and conducting targeted tests on controls with guidance on identified risks.

Responsibilities

Provide effective challenge and guidance on compliance risks and support AML Advisors through various interactions and forum engagements.
Assist AML Advisory in applying Compliance requirements to new products, process development, control design and monitoring, remediation actions for compliance breakdowns, and changes in law or regulation.
Maintain consistency in advisory decisions and the messaging across determinations.
Develop a strong understanding of applicable laws and regulations.
Support the evaluation of Internal Audit, Regulatory Exams, and self-identified issues for compliance impact.
Assist AML Advisory by advising and adjusting processes, procedures, and controls as needed.
Serve as a liaison with internal and external bank personnel to ensure completion of program attestations for external relationships.
Maintain a solid understanding of the Compliance Risk Management Framework and related regulations.
Identify data trends that could signal potential risk impacts.
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistent Compliance Risk Management.
Help update AML-owned procedures.

Basic Qualifications

Bachelor's Degree or Military Experience
At least 3 years of regulatory compliance experience, or at least 3 years of risk management experience, or at least 6 years in the financial services industry
At least 3 years of Anti-Money Laundering (AML) compliance experience
At least 3 years of Tableau software experience

Preferred Qualifications

Bachelor's Degree in Business Management, Compliance, Risk, Legal, or Finance, Accounting or related field
4+ years of regulatory compliance experience, or risk management experience, or financial services industry experience
4+ years of experience in financial services, or AML functions, or compliance risk management, or AML project management
Previous experience supporting programs where senior leaders and external stakeholders are clients
4+ years of experience with Tableau and Structured Query Language (SQL)
CAMS or CRCM certification

Work Authorization

Capital One does not sponsor new applicants for employment authorization for this position at this time.

Location

Plano, TX 75023

Salary

The minimum and maximum full-time annual salaries for this role are listed below by location. This information is intended for candidates hired to work in one of these locations and reflects the amount Capital One is prepared to pay at the time of posting. Part-time salaries will be prorated based on hours worked.

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III
Chicago, IL: $109,900 - $125,400 for Compliance Advisory Specialist III
McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III
Plano, TX: $109,900 - $125,400 for Compliance Advisory Specialist I

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