Capital One Compliance Advisor Manager 

United States, Texas, Plano 

265454810

Plano 2 (31062), United States of America, Plano, Texas Compliance Advisor Manager

The Compliance Advisor Manager supports the line of business by:

• Providing input on business regulatory requirements

• Providing guidance on business policies, standards, and procedures

• Leading and reviewing department training, as appropriate

• Providing compliance advice 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:

• Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary

• Identify trends in data and advise on identified emerging risks

• 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

• Actively participate on complex projects through providing guidance, advise, and effective challenge

• 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

• Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 5 years of experience in compliance, legal, audit or risk management

Preferred Qualifications:

• Master’s Degree or other graduate degree

• Understanding of Fair Credit Reporting Act (FCRA), Electronic Fund Transfer Act (Regulation E), and National Automated Clearing House Association (NACHA) requirements

• 5+ years of experience supporting, partnering, and interacting with internal business clients

• 6+ years of experience in compliance, legal or audit

• Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) certifications

• Proficient in Google suite

. 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.