West Creek 3 (12073), United States of America, Richmond, Virginia

Compliance Advisor Manager

The Compliance Advisor Manager performs a key risk management role (second line of defense) by ensuring business line initiatives and processes comply with applicable consumer laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor Manager is responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert, and executing or participating in corporate risk management processes.

The Compliance Advisor Manager supports the US consumer credit card business (Partnerships) by:

• Providing subject matter expertise and guidance on lending compliance requirements
• Providing effective challenge and guidance on compliance risks and supporting business line through various interactions and forums
• Leading and advising on due diligence and integration efforts
• Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans
• Providing guidance on controls over compliance requirements and business line monitoring of those controls
• Performing risk-based design reviews of business line controls and providing guidance on identified risks

Responsibilities:

• Maintain subject matter expertise of applicable laws and regulations and Compliance Risk Management framework
• Maintain understanding of business line operating processes, strategies, products, and services
• Provide effective challenge and guidance on compliance risks and support business line through various interactions and forums
• Support business line by providing expert advice and influencing changes to processes, procedures, and controls to mitigate compliance risk
• Determine compliance requirement applicability to business line products and processes
• Advise business line on compliance requirement applicability for new products and/or processes and changes in law or regulation
• Conduct compliance risk assessment of new products and initiatives and advise business of compliance risk(s) associated risks; support business during new product and initiative implementation
• Review new/revised business line policies, standards and procedures
• Help business line determine appropriate training audience, delivery channel(s), and training frequency for compliance training
• Review business line training materials with compliance related content for accuracy and completeness
• Provide business line guidance on developing and executing controls and monitoring plans
• Assess operational breakdowns for compliance risk and provide guidance on remediation/recovery plans
• Identify trends in data and advise on identified emerging risks
• Review business line performance and escalate high risks and issues
• Communicate compliance risk appetite and key performance metrics to business line and monitor business plans to ensure compliance risk remains within approved appetite
• Evaluate Internal Audit, regulatory exam, and self-identified issues and events for compliance impacts
• Monitor external compliance environment, emerging risks, regulatory focus areas
• Assist business line in developing and maintaining their Compliance Management Program

Basic Qualifications:

• Bachelor's Degree or Military Experience
• At least 3 years of experience in compliance risk management, legal, or audit

Preferred Qualifications:

• Master's Degree
• At least 5 years of experience in compliance risk management, legal, or audit
• Certified Regulatory Compliance Manager (CRCM) certification
• Strong written and verbal communication skills

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).