Compliance Advisory Specialist Iii jobs at Capital One in United States, Richmond

Compliance Advisory Specialist II

Responsibilities will include (but may not be limited to):

• Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements.

• Conducting testing on a schedule to ensure all tasks and reporting are completed within established timeframes.

• Analyzing data from multiple sources and systematically documenting the work and results.

• Reviewing complaints to identify fair lending or sales practices risks

• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.

• Assisting in communicating results to Compliance Officers, as needed.

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 1 year of experience in compliance testing, compliance monitoring, quality assurance, control review or audit.

• At least 1 year of experience using Google Suite

Preferred Qualifications:

• Bachelor's degree

• 2+ years of financial services consumer compliance monitoring experience or 2+ years of consumer compliance auditing experience

• 1+ years of Underwriting experience

Chicago, IL: $86,000 - $98,200 for Compliance Advisory Specialist II McLean, VA: $94,600 - $107,900 for Compliance Advisory Specialist II Richmond, VA: $86,000 - $98,200 for Compliance Advisory Specialist II Riverwoods, IL: $86,000 - $98,200 for Compliance Advisory Specialist IIThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Compliance Advisory Specialist III, Principal Associate

Responsibilities

• Maintain subject matter expertise of applicable laws and regulations for consumer banking products and services across the lifecycle of an account

• Partner with Legal attorneys for complaints that need Legal review for UDAAP/UDAP risks, as well as for any Legal risks identified

• Consult and work closely with Compliance colleagues in Bank horizontal areas that require complaint reviews, e.g. Privacy, Fair Lending, Anti-Money Laundering

• Document complaint regulatory assessments, consistent with policies and procedures

• Work with Retail Bank complaints operations to review and resolve complaint questions and engage in meetings as needed

• Provide ad-hoc training to first line teams on regulatory risk related to complaints and customer experience

• Advise business and Compliance colleagues on known risks, events or activities that may generate complaints Support lines of business through expert advice, and elevate best practices

• Request and analyze data; support and initiate efforts to improve data sourcing; and drive innovation with business partners and IT support teams

• Identify trends in data and proactively advise on identified external and internal risks

• Review Compliance tools to generate trending information, and escalate with subject matter experts, advisors, and the business when necessary

• Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards

• Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations

• Participate in reporting activities used by Senior Leadership

• Demonstrate strong time management, organizational, and prioritization skills; complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

• Exhibit strong problem-solving and conceptual thinking skills

• Flexibility to travel to various Capital One locations as necessary

The ideal candidate will possess:

• A focus on results and achieving short and long-term goals

• A proven track record of supporting and working across groups and functions and with leadership

• Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry

• Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team

• Highly developed interpersonal, presentation, and communications skills (written and oral)

• Strategic influencing skills, with the ability to build understanding and agreement among diverse groups

• Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues

• An understanding of how banking technology performs, and how consumer laws and regulations apply to the utilization of technology and data in serving our customers

• Strong project management, process management, and organizational skills

• Ability to balance operating independently with appropriate escalation to and interaction with senior leadership

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 3 years of experience in compliance, legal, risk management, or audit

• At least 2 years of experience supporting, partnering, and interacting with business clients

• At least 3 years of experience in the financial services industry

Preferred Qualifications:

• Juris Doctor or Master’s Degree

• 4+ years of experience in compliance, legal, risk management, or audit

• CRCM (Certified Regulatory Compliance Manager) certification,Association of Certified Anti-Money Laundering Specialists (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification

McLean, VA: $117,300 - $133,900 for Compliance Advisory Specialist III Richmond, VA: $106,700 - $121,700 for Compliance Advisory Specialist IIIThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Principal Associate, Compliance

Responsibilities:

The Advisor will have an understanding of third-party compliance risks and controls and leverage their knowledge to:

• Advise lines of business, Third-Party Managers, and Contract Managers on compliance risks and controls across the third party lifecycle

• Perform pre-contract third party due diligence assessments

• Perform quality assurance reviews on TPC program processes

• Partner with Enterprise Supplier Management and Third Party Risk Management to mature third party compliance controls, monitoring actions, and risk identification questions

• Lead and support Third Party Compliance projects as needed, including Audit and Exam requests, third-party compliance training process improvements, and the development of a third-party compliance toolkit

• Identify and implement improvements to existing Third Party Compliance processes

The preferred skill set for this role includes:

• Collaboration and project management skills that influence and drive projects and results with cross-functional stakeholders

• Experience with the laws and regulations that are applicable to the third-party services and products used by Capital One

• Knowledge of or ability to quickly learn how to access third-party data in source systems

• An understanding of Capital One’s Lines of Defense structure

• Knowledge of testing program structures and methodologies

• Demonstrated creative problem solving ability

• Experience with inherent risk, control effectiveness, and residual risk methodologies

Basic Qualifications:

• High School Diploma, GED, or equivalent certification

• At least 3 years of experience in Compliance, Third-Party Management, or Risk Management

Preferred Qualifications:

• Bachelor’s Degree

• CRCM certification or IAPP certification

• 1+ year of experience with Salesforce

• 1+ year of experience with Google Suite

• A basic understanding of Governance, Risk, and Compliance software tools

• Experience in Controls Development, Controls Management, and Reporting activities

• Experience in a third party risk and compliance program at a financial institution

• Experience with Process Management or Project Management

McLean, VA: $117,300 - $133,900 for Compliance Advisory Specialist III Richmond, VA: $106,700 - $121,700 for Compliance Advisory Specialist IIIThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

If you’re looking for a fast paced, dynamic and innovative firm founded on a culture of diversity and inclusion that can provide you with a challenging role and long term career development opportunities then read on.

Responsibilities include:

• Lead multiple customer stakeholders through our robust risk management framework including scoping, risk assessment, control design, testing, deficiency analysis, reporting and certification.

• Directly advise business process performers, risk offices, internal auditors and accountable executives on emerging data and technology risks and communicate identified risks or issues and recommended remediation actions to these stakeholders.

• Support technology and business transformation, including assessing potential control changes that may be required as we embrace cloud capabilities to enhance our financial reporting and risk management practices.

• Perform analysis, capture and report control performance metrics and assist in preparing quarterly stakeholder reporting.

• Interpret and communicate program and control information to various stakeholders including identified risks or issues and recommended remediation.

• Develop a high level of knowledge around reporting compliance, risk management, and evolving industry changes and understand the broader context of implication of reporting risks affecting the company.

• May lead or perform substantive testing procedures, including, but not limited to, identifying and defining issues, reviewing and analyzing transactional evidence, documenting target area processes and procedures, and recommending remediation.

Basic Qualifications:

• Bachelor's Degree or military experience

• At least 5 years of experience in IT Internal Controls, Data Risk Management, IT Risk Management, IT Audit, or a combination

Preferred Qualifications:

• At least 5 years of experience in External Auditing and Control Evaluation

• Certified Public Accountant (CPA), or Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) or a combination

• AWS Certified Cloud Practitioner or AWS Certified Solutions Architect

McLean, VA: $158,400 - $180,800 for Manager, Capital Markets & Risk Richmond, VA: $144,000 - $164,400 for Manager, Capital Markets & RiskThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Senior Associate, Global Trade Compliance - Enterprise Services Risk

In this role, you will:

• Drive collaboration across data analytics, Tech, Legal, and second-line risk organizations to design and implement effective processes for U.S. export control and other global trade compliance requirements as defined by applicable laws and regulations.

• Oversee and implement intake, data governance, systems-of-record management, and business intelligence (BI) initiatives to drive transparent processes for clients, generate insightful analysis (including through effective visualizations), ensure auditability, and enable data-driven senior leadership decision-making worldwide;

• Utilize industry-standard project management, collaboration, automation, and visualization tools (such as Jira, Confluence, Tableau, Gemini, Copilot, Looker Studio, etc.) for maintaining and monitoring dashboards and reports related to key performance indicators (KPIs).

• Develop and maintain robust processes for identifying, assessing, mitigating, and monitoring international initiatives across the enterprise;

• Analyze information to proactively identify and report progress, risks, trends, andfirst-line-of-defenseGTC process improvements;

• Conduct program and process-level risk assessments, establish controls, implement monitoring, and lead root cause analyses and remediation for international risks, based on industry standards and best practices and in alignment with Capital One’s strategic risk direction.

• Represent the team in risk and other management forums, and support interactions with Internal Audit and Regulatory agencies related to our work, as applicable.

• Support the ES Risk organization by championing innovative ideas and executing special projects to enhance team capabilities.

Basic Qualifications:

• High School Diploma, GED or Equivalent Certification

• At least 2 years of experience in Risk Management, Process Management, Project Management, or a combination of these

• At least 1 year of experience in cyber risk management, information technology, technology risk management, or technology audit, or a combination of these

• At least 1 year of experience in the practical application of database management, business intelligence, or statistical analysis at a program level

• At least 1 year of experience using Google Workspace

Preferred Qualifications

• Bachelor's Degree or Military Experience

• Project Management Professional (PMP), Masters Certificate of Project Management (CPM), Certified Regulatory Compliance Manager (CRCM), Certified Information Systems Security Professional (CISSP), or Certified Information Security Manager (CISM)

• 2+ years experience performing statistical analysis, including data analytics, Business Intelligence, and creating clear and concise data visualizations

• 2+ years experience performing information security or technology compliance, risk identification and assessments, or controls governance for digital products and services

• 2+ years experience performing analysis in support of compliance, internal risk assessments, control design, and operating effectiveness associated with new or change-driven initiatives

• 2+ years experience performing data lifecycle management involving technology, cybersecurity, manufacturing, or a similar field

• 3+ years experience setting direction and leading cross-functional projects.

• Experience using project management tools such as Jira and Confluence

• Proficiency in implementing database concepts such as relational databases and SQL

• Proficiency in leveraging Business Intelligence platforms such as Power BI, Looker Studio, and Tableau

• Excellent verbal presentation and written communication skills to confidently interact at all levels of the organization such as engineering, technology/cyber organizations, enterprise business stakeholders, and leadership

• At least 1 year of experience in open source programming languages for large scale data analysis

McLean, VA: $109,000 - $124,400 for Sr. Assoc, Cyber Risk & Analysis New York, NY: $118,900 - $135,700 for Sr. Assoc, Cyber Risk & Analysis Richmond, VA: $99,100 - $113,100 for Sr. Assoc, Cyber Risk & AnalysisThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Compliance Advisor ManagerChicago, IL: $132,800 - $151,600 for Compliance Advisor Manager McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager Plano, TX: $132,800 - $151,600 for Compliance Advisor Manager Richmond, VA: $132,800 - $151,600 for Compliance Advisor Manager Riverwoods, IL: $132,800 - $151,600 for Compliance Advisor ManagerThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Compliance Complaints Advisory (CCA) - Principal Associate

The US Card Compliance team is seeking an experienced Principal Associate to be a Compliance Complaints Advisory Specialist who will be responsible for researching, analyzing, and offering regulatory guidance on high-risk customer complaints to support the Customer Advocacy Office (CAO) team and Channels organization within US Card. The US Card Compliance Complaints Advisory Specialist researches complaint cases, including communication from/to regulators, agents, and customers, and analyzes how customer accounts were serviced. This role involves analyzing complaints for trends across business areas and processes, plus sharing regulatory insights. Collaboration with credit card operations team and complaint areas, Legal, and other partners is anticipated to exchange knowledge and insights from complaints while offering direction, counsel, and training for upcoming customer initiatives and fulfillment. The ideal candidate should have a passion for researching regulatory requirements, simplifying complex regulations, and using critical thinking, judgment, and analysis to effectively evaluate compliance. The role requires the ability to work autonomously and cross-functionally and develop/maintain strong relationships with partner teams. In addition, this role requires great attention to detail, excellent verbal and written communication skills, and the ability to succinctly and clearly communicate regulatory requirements to others.

Responsibilities:

• Maintain subject matter expertise of applicable laws and regulations for consumer card products and services across the lifecycle of an account

• Partner with Legal’s attorneys for complaints that need Legal review for UDAAP/UDAP risks, as well as for any Legal risks identified

• Consult and work closely with Compliance colleagues in Card horizontal areas that require complaint reviews, e.g. Small Business Card, Privacy, Fair Lending, AML

• Document complaint regulatory assessments, consistent with policies and procedures

• Work with credit card complaints operations to review and resolve complaint questions and engage in meetings as needed

• Provide ad-hoc training to first line teams on regulatory risk related to complaints and customer experience

• Advise business and Compliance colleagues on known risks, events or activities that may generate complaints Support lines of business through expert advice, and elevate best practices

• Request and analyze data; support and initiate efforts to improve data sourcing; and drive innovation with business partners and IT support teams

• Identify trends in data and proactively advise on identified external and internal risks

• Review Compliance tools to generate trending information, and escalate with subject matter experts, advisors, and the business when necessary

• Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards

• Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations

• Participate in reporting activities used by Senior Leadership

• Demonstrate strong time management, organizational, and prioritization skills; complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

• Exhibit strong problem-solving and conceptual thinking skills

• Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:

• High School Diploma, GED, or equivalent certification

• At least 3 years of experience in compliance, risk management, audit or legal

• At least 2 years of experience working with Credit Card Products, Operations or Servicing

• At least 1 year of experience interacting with senior management or business partners

Preferred Qualifications:

• Master’s Degree

• 4+ years of experience in compliance, risk management, audit or legal

• Strong knowledge of Credit Card Products, Operations, Servicing, Systems and Platforms

• Certified Regulatory Compliance Manager (CRCM) certification, Association of Certified Anti-Money Laundering Specialists (ACAMS) certification, or Certified Information Privacy Professional(CIPP) certification

McLean, VA: $117,300 - $133,900 for Compliance Advisory Specialist III Richmond, VA: $106,700 - $121,700 for Compliance Advisory Specialist III Riverwoods, IL: $106,700 - $121,700 for Compliance Advisory Specialist IIIThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.