Compliance Advisor Manager

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;
• Aid 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 and governance activities, such as: LAUNCH and other reports used by Senior Leadership;
• Flexibility to travel to various Capital One locations as necessary.

Qualifications

• Bachelor’s Degree, or military experience;
• At least 4 years of experience in compliance, legal, or audit;
• At least 4 years of experience supporting, partnering, and interacting with internal business clients;
• Master’s Degree or Law Degree preferred;
• 7+ years of experience in compliance, legal, or audit preferred;
• CRCM certification, or ACAMS certification, or CIPP certification preferred;
• Strong knowledge of Card Operations, Servicing, Systems and Platforms preferred.