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Capital One Compliance Advisor Senior Manager – US Card United States, Virginia, Arlington 230970771
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
. 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.
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