Capital One Sr Manager Compliance 

United States, Texas, Plano 

961640161

Sr. Manager, Compliance

The Compliance Senior Manager performs a key risk management role (second line of defense), to help identify emerging and trending risks stemming from analysis of complaints. While working within the Compliance Management Program framework, the Compliance Senior Manager is responsible for managing a pipeline of topics for further research, performing analysis in partnership with key stakeholders, and producing formal reporting to effectively communicate results. This role supports and reports into the Enterprise Complaints Program in ensuring adherence to the Enterprise Complaints Standard.

The Compliance Senior Manager supports the Enterprise Complaints Program by:

• Leading initiatives and ad hoc reviews to amplify the customer voice through complaints research and analytics

• Managing relationships with first line teams and providing guidance on Enterprise complaints related topics.

• Providing input on business regulatory requirements and enterprise complaints 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

Responsibilities:

• Identify high priority topics in the complaints space for deep dive opportunities to uncover potential risks and poor customer experiences.

• Advise lines of businesses on adherence to the Enterprise Complaints Standard

• 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, regulations, and standards.

• Have a broad understanding of second line processes, including issue research, grounding, opening, and closure.

• Support lines of business through expert advice, influence adjustments to the processes, procedures, and adherence to the Standard

• Maintain expert understanding of Compliance Risk Management Framework

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

• Have an eye for innovation and the ability to operate in complex environments and gray space.

• Drive results that are meaningful, actionable, and repeatable.

• Ability to communicate complex results to senior audiences effectively and with the appropriate level of detail.

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 6 years of financial services experience

• At least 3 years of experience in compliance, risk management, or audit roles

Preferred Qualifications:

• Master’s Degree or Juris Doctorate Degree

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

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.