Senior Compliance Analyst
EarnestSalary not specified
Full Time
Junior (1 to 2 years)
Associate, Compliance Advisory Specialist I at Capital One
Richmond, Virginia, United States
Not SpecifiedCompensation
Junior (1 to 2 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, BankingIndustries
Requirements
- Experience and subject matter expertise in a highly regulated environment
- Strong analytical skills
- Results-oriented mindset with proven effectiveness
- Understanding of Compliance Risk Management Framework and applicable laws and regulations (to be developed)
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 sanctions 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
- Work with senior advisors to assist lines of business in the development and maintenance of the sanctions compliance program, such as how to monitor, report, and train
- Participate in targeted validations on controls over applicable regulations and sanctions compliance testing
- Assist in capturing, maintaining, and analyzing sanctions compliance data
- Participate in development and conducting of training directed to compliance
- Provide supervised input on business regulatory requirements
- Support senior advisors in providing guidance on business policies, standards, and procedures
- Provide support on sanctions compliance projects
- Support senior advisors in providing guidance on controls over regulatory requirements and line of business monitoring of those controls
- Participate in targeted tests on lines of business controls, as directed
Skills
AML
Sanctions Compliance
Risk Management
Regulatory Compliance
Risk Assessments
Process Improvement
Analytical Skills
Capital One
Offers diverse financial products and services
About Capital One
Capital One provides a variety of financial services aimed at making banking accessible and easy for everyone. The company offers products such as credit cards, savings accounts, car loans, and business checking accounts, catering to both individual consumers and small businesses primarily in the United States. Capital One's approach includes user-friendly banking solutions with no fees or minimums for checking accounts, allowing customers to manage their finances more effectively. They generate revenue through interest on loans, credit card fees, and investment banking services. What sets Capital One apart from its competitors is its strong commitment to financial inclusion and literacy, demonstrated through community partnerships and educational initiatives, such as collaborations with Khan Academy. The company's goal is to create a more inclusive financial system and empower customers with the knowledge and tools they need to make informed financial decisions.
McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees
Benefits
Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program
Risks
Increased competition in subscription management tools may dilute Capital One's advantage.
Over-reliance on partnerships could expose Capital One to technological risks.
Departure of key personnel like Joe Rodriguez may affect risk management continuity.
Differentiation
Capital One offers user-friendly banking with no fees or minimums for checking accounts.
The company partners with Khan Academy to provide financial literacy education.
Capital One is the first major U.S. bank to offer subscription management tools.
Upsides
Capital One's mobile app is a model for secure, user-friendly digital banking.
Data sharing with Worldpay enhances payment security and fraud prevention.
Partnerships with fintechs like Minna Technologies improve customer experience.
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