Capital One Manager Compliance United States, Texas, Plano 254171184
The ideal candidate will demonstrate:
Learning Agility
Strong Ownership & Execution
Strong Verbal & Written Communication & Influence
Legal/Regulatory Advising Expertise
Strong Willingness to Effectively Challenge and Guide
Teamwork & Collaborative Mindset
Responsibilities:
The Manager Compliance Advisor supports business lines by:
Providing subject matter expertise and guidance on consumer and dealer-related sales laws, regulations, and Compliance Risk Management requirements
Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans
Managing issues, action plans, and compliance-related event monitoring activities
Providing guidance on controls over compliance requirements and business line monitoring of those controls
Maintaining an understanding of business line operating processes, strategies, products, and services
Providing effective challenge and guidance on compliance risks and support business line through various interactions and forums
Providing expert advice and influencing changes to processes, procedures, and controls to mitigate compliance risk
Determining compliance requirement applicability to business line products and processes
Advising business line on compliance requirement applicability for new products, processes, and changes in law or regulation
Reviewing new/revised business line policies, standards, and procedures
Helping business line determine appropriate training audience, delivery channel(s), and training frequency for compliance training
Reviewing business line training materials with compliance-related content for accuracy and completeness
Providing business line guidance on developing and executing controls and monitoring plans
Assessing operational breakdowns for compliance risk and provide guidance on remediation/recovery plans
Identifying trends in data and advise on emerging risks
Reviewing business line performance and escalate high risks and issues
Communicating compliance risk appetite and key performance metrics to business line and monitor business plans to ensure compliance risk remains within approved appetite
Reviewing complaints for compliance risks; provide guidance on remediation; escalate and facilitate with other subject matter experts as necessary
Evaluating Internal Audit, regulatory exam, and self-identified issues and events for compliance impacts
Monitoring external compliance environment, emerging risks, regulatory focus areas
Assisting business line in developing and maintaining their Compliance Management Program
Being flexible to travel to various Capital one locations as necessary
Basic Qualifications:
Bachelor’s Degree or Military Experience
At least 3 years of experience in compliance, legal, or audit
At least 5 years of experience supporting, partnering, and interacting with internal business clients
Preferred Qualifications:
Juris Doctorate
7+ years of experience in compliance, legal, or audit
Certified Regulatory Compliance Manager (CRCM),Certified Enterprise Risk Professional (CERP), Anti-Money Laundering Specialist Certification, Certified Information Privacy Professional, or Series 7, 24, or 63/65 certifications
. 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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