Compliance Advisor Senior Manager
About The Position
The Compliance Advisor Senior Manager performs a key risk management role (second line of defense), to help ensure corporate initiatives and Commercial Card processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor Senior 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 Compliance Advisor Senior Manager supports the line of business by: Providing input and advising on business regulatory requirements Providing guidance on business policies, standards, and procedures; Providing compliance advice on complex projects; Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
Requirements
- Bachelor’s Degree, or military experience
- At least 5 years of experience in Compliance, Risk Management, Audit or Legal
Nice To Haves
- Master’s Degree
- 7+ years of experience in Compliance, Risk Management, Audit or Legal
- CRCM certification, or ACAMS certification, or CIPP certification
- Strong knowledge of Card Operations, Servicing, Systems and Platforms
Responsibilities
- Identify potential internal and external risks relating to the lines of business initiatives and processes and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
- 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 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 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 UDAP 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 and governance activities, such as: LAUNCH and other reports used by Senior Leadership
- Flexibility to travel to various Capital One locations as necessary
Benefits
- comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
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What This Job Offers
Job Type
Full-time
Career Level
Senior
