Senior Manager, Compliance

About the role

The Senior Manager, Compliance performs a key risk management role in the second line of defense, providing primary compliance support to the 'New to Credit' credit card business segment. We are looking for a dynamic, strategic thought partner to implement the compliance strategy for this significant growth opportunity.

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
• Advises 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
• Conduct targeted validations and reviews on controls over applicable regulations
• Perform UDAAP validations and reviews
• Achieve active involvement with compliance testing and third party compliance
• Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
• Aid 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

Requirements

• Bachelor’s Degree, or military experience
• At least 5 years of experience in Compliance, Risk Management, Audit or Legal

Preferred Qualifications

• Master’s Degree or Juris Doctor (J.D.)
• 8+ 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

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.