Capital One Senior Manager Compliance Advisor - Business 

United States, Virginia, Richmond 

72590907

The Senior Manager, Compliance Advisor supports the line of business by:

• Providing input on business regulatory requirements

• 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

• Providing guidance on business policies, standards, and procedures

• Developing and leading department training, as appropriate

Responsibilities:

• Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements

• Maintain subject matter expertise of applicable laws and regulations

• 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 risky 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

• Perform Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) validations and reviews

• Active involvement with compliance testing and third party compliance

• Identify trends in data and proactively advise on identified external and internal risks

• Perform and review control assessments executed by peers for accuracy and adherence to test procedures

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

• Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts

• 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

• Participate in reporting activities, such as: Legal Management Software (NULAW),New Products and Marketing Initiatives Governance (NPMIG), and other reports used by Senior Leadership

• Manage and develop Advising Team in support of their compliance work and professional career

• Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 6 years of financial services experience

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

Preferred Qualifications:

• Master’s Degree

• At least 8 years of experience in compliance, risk management, audit or legal

• CRCM certification, or ACAMS certification, or CIPP certification

• Strong knowledge of Card Operations, Servicing, Systems and Platforms

McLean, VA: $170,800 - $194,900 for Compliance Advisor Sr. Manager Richmond, VA: $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.