Capital One Manager Compliance 

United States, Texas, Plano 

45706780

The Compliance Advisor Manager supports the line of business by:

• Conducting deep dive analysis on compliance-related emerging risks

• Reviewing business policies, standards, procedures and department training, as appropriate

• Interacting with Compliance advisors/testers to effectively challenge processes, standards, procedures, and controls related to regulatory requirements

• Interacting with multiple lines of business subject matter experts (SMEs) to understand business processes and data

• Managing and coordinating projects while simultaneously leveraging and influencing Compliance advisors and business partners across multiple business lines to drive results for project completion

• Managing team of risk associates in prioritizing workstreams and deliverables to ensure timely completion and submission of

  Pulse Checks
  analyses/evaluations

• Interacting with the Compliance Leadership Team to present analysis/insights resulting from projects

• Providing thought leadership in effectively challenging and supporting compliance deep dives

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 process data and advise on identified emerging risks

• Maintain subject matter expertise of applicable laws and regulations

• Review controls and control assessments executed by peers for accuracy and adherence to test procedures

• Review 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

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

• 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, Juris Doctor, 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 Workspace (formerly G Suite)