Compliance Advisor Manager

Capital One • Plano, TX

3d

About The Position

Compliance Advisor Manager The Bankruptcy Compliance Advisor Manager performs a key risk management role (second line of defense) to help ensure corporate initiatives and lines of business processes comply with applicable Bankruptcy laws and regulations. While working within the Compliance Management Program framework, the Bankruptcy Compliance Advisor Manager is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes. The Bankruptcy Compliance Advisor Manager supports the line of business by: -Providing input on business regulatory requirements; -Providing guidance on business policies, standards, and procedures; -Developing and leading department training, as appropriate; -Providing compliance advice on complex projects; -Providing guidance on controls over regulatory requirements and line of business monitoring of those controls; -Performing targeted tests on lines of business controls and provide guidance on identified risks Responsibilities: -Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary -Identify trends in data and proactively advise on identified external and internal risks -Maintain subject matter expertise of applicable laws and regulations -Perform and review control assessments executed by peers for accuracy and adherence to test procedures -Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts -Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements -Advise lines of business on application of 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 -Assist risky lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train -Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls -Conduct targeted validations and reviews on controls over applicable regulations -Perform UDAAP validations and reviews -Active involvement with compliance testing and third party compliance -Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations -Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management -Participate in reporting activities, such as: Regulatory Change Management, new initiatives and business processes (LAUNCH), and other reports used by Senior Leadership

Requirements

• Bachelor’s Degree or Military Experience
• At least 5 years of experience in bankruptcy compliance, legal, or audit
• At least 5 years of experience supporting, partnering, and interacting with internal business clients

Nice To Haves

• Juris Doctorate
• 7+ years of experience in bankruptcy compliance, legal, or audit

Responsibilities

• Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
• Identify trends in data and proactively advise on identified external and internal risks
• Maintain subject matter expertise of applicable laws and regulations
• Perform and review control assessments executed by peers for accuracy and adherence to test procedures
• Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts
• Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements
• Advise lines of business on application of 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
• Assist risky lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
• Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls
• Conduct targeted validations and reviews on controls over applicable regulations
• Perform UDAAP validations and reviews
• Active involvement with compliance testing and third party compliance
• Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
• Participate in reporting activities, such as: Regulatory Change Management, new initiatives and business processes (LAUNCH), and other reports used by Senior Leadership

Benefits

• 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 .
• This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager