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Responsibilities include but are not limited to:
Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions
Developing and maintaining strong relationships with business leadership, Legal, Risk Office, and other stakeholders and coordinating with teams to accomplish shared objectives
Advising on business regulatory requirements including securities law (e.g, Reg AB), banking regulations (e.g., Reg W, Reg K), GSE requirements and state laws and maintaining subject matter expertise of applicable laws and regulations
Anticipating, identifying, and escalating compliance risk scenarios early and proposing potential mitigating solutions
Providing effective challenge and guidance on compliance risks and supporting the businesses through various interactions and forums including new initiatives
Providing guidance and influencing adjustments to business policies, standards, and procedures to mitigate compliance risk
Leading and reviewing compliance training, as appropriate
Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans
Assessing and advising on changes in law and regulations
Facilitating the engagement between businesses and horizontal Compliance partners in AML, Privacy, and Fair & Responsible Banking
Reviewing customer complaints and providing guidance on remediation
Advising and dispositioning findings identified by compliance testing
Supporting manager on regulatory exams and/or internal audits, as necessary
Maintaining expert understanding of compliance management program
Basic Qualifications:
Bachelor’s Degree or military experience
At least 3 years of experience in compliance, legal, or audit supporting commercial businesses
Preferred Qualifications:
Master’s Degree or Juris Doctor
4+ years of experience in compliance, legal, or audit supporting commercial businesses
Familiarity with and the ability to develop a thorough working knowledge of banking and securities laws and regulations (Reg AB, GSE requirements, state banking laws, Regulation W, Regulation K, securities laws)
Ability to research, read and interpret regulations, and advise the business
Ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrix organization
. 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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