Capital One Compliance Advisor Senior Manager – US Card 

United States, Virginia, Arlington 

230970771

Center 2 (19050), United States of America, McLean, Virginia Compliance Advisor Senior Manager – US Card

The Compliance Advisor Senior Manager supports the line of business by:

• Providing input on business regulatory requirements

• Providing guidance on business policies, standards, and procedures

• Developing and leading department training, as appropriate

• Providing compliance advice and effective challenge on complex projects

• Providing guidance on controls over regulatory requirements and line of business monitoring of those controls

• Performing targeted tests on lines of business controls and provide guidance on identified risks

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 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 governance activities, including: Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and Event Management, and others

• Participate in reporting activities including Monthly Business Reviews, Quarterly Compliance Reviews and other reports used by Senior Leadership

• Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 6 years of financial services experience

• At least 3 years of experience in credit card operations, credit card servicing or credit card systems and platforms

Preferred Qualifications:

• Master’s Degree or J.D.

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

• 3+ years of experience advising on any of the following laws and regulations: Service Members Civil Relief Act (SCRA), Military Lending Act (MLA), Americans with Disabilities Act (ADA), Power of Attorney (POA), Conservatorship, and Guardianship.

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

Illinois (Hybrid On-Site): $161,200 - $184,000 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.

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.