Capital One Senior Manager Compliance Advisory 

United States, Texas, Plano 

147990414

Senior Manager, Compliance Advisory

The Compliance Advisor Senior Manager maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making. Additional responsibilities will include:

• Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary

• Analyze information to proactively identify risks, trends, and process improvements; supports reporting on risk topics to management;

• 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

• Stay current on the changing regulatory landscape and understanding the impacts to your business;

• 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

• Actively participate on complex projects through providing guidance, advise, and effective challenge

• Actively engage in 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

• Enhance Risk Management processes across Financial Services Compliance by providing thought leadership, oversight, and coordination with other risk management activities across the company;

• Prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations

• Be flexible to travel to various Capital One locations as necessary

Basic Qualifications:

• Bachelors Degree or Military Experience

• At least 5 years of experience in compliance, legal, or audit OR at least 7 years of experience in Banking or Financial Services

Preferred Qualifications:

• Juris Doctorate Degree

• Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) certifications

• Proficient in Google Suite

• Understanding of Electronic Fund Transfer Act (Regulation E), National Automated Clearing House Association (NACHA) requirements

Plano, TX: $155,300 - $177,200 for Compliance Advisor Sr. 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.