Compliance Advisory Specialist I

Capital One
  • Location
    Richmond, Virginia
  • Sector
  • Experience
    Early Career
  • Posted
    Jun 04

Position description

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Compliance Advisory Specialist I

Title: Compliance Advisory Specialist I

Level: Associate Level

The Role: 

The Compliance Advisor I performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable sanctions laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor I is responsible for delivering quality results, assisting others in providing sanctions compliance advice to lines of business, and executing or participating in corporate processes.


The Compliance Advisor I will support lines of business by:
-Providing supervised input on business regulatory requirements;
-Supporting senior advisors in providing guidance on business policies, standards, and procedures;
-Providing support on sanctions compliance projects;
-Supporting senior advisors in providing guidance on controls over regulatory requirements and line of business monitoring of those controls;
-Participating in targeted tests on lines of business controls, as directed


-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
-Develop understanding of Compliance Risk Management Framework and applicable laws and regulations
-Assist in capturing, maintaining, and analyzing sanctions compliance data
-Participate in projects through providing support to more senior advisors
-Participate in reporting activities in a support role
-Flexibility to travel to various Capital One locations if necessary


Basic Qualifications: 
- Associate Degree or equivalent experience 

- At least 1 year of experience in AML

Preferred Qualifications: 
-Bachelor’s Degree or Military experience

-At least 3 years of experience in AML and/or sanctions, or 3 years experience in risk management, or 3 years experience in international relations 

-Proficiency in Microsoft Office

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

Application instructions

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