HR Compliance Advisor Manager

Capital One
Melville, New York, United States
Feb 24, 2023
Mar 19, 2023
Full Time
1307 Walt Whitman (22600), United States of America, Melville, New York

HR Compliance Advisor Manager

The Manager, HR Compliance Advisor will assist in the creation, management, and oversight of a robust Compliance Management Program supporting HR. The associate will play a critical role in maintaining the second line of defense by ensuring HR initiatives, activities, policies, and processes comply with applicable laws and regulations. Working within established frameworks, the associate will identify, evaluate, and manage compliance requirements in assigned areas, oversee compliance activities managed by others, support business areas with subject matter expertise, participate in risk management processes, and engage in various enterprise compliance programs and initiatives which strengthen risk practices and improve the overall state of compliance. Additional responsibilities will include supporting efforts to implement a federated compliance model across multiple groups and developing or modifying policies and procedures as they evolve.

The successful candidate will be self-starting and possess both analytical and strategic thinking skills. He or she will have exceptional relationship-building, facilitation, and communication skills, and will be able to seamlessly integrate with, influence, and drive change across HR and Business Risk Offices. The Manager, HR Compliance Advisor will support these groups through various interactions and forums by:
  • Providing subject matter expertise and guidance on compliance standards and practices, compliance requirements, controls over compliance requirements, and business line monitoring of those controls
  • Performing risk-based design reviews of business line activities, processes, and controls, and offering guidance on identified risks
  • Continuously assessing the state of compliance risk, providing effective challenge, and recommending controls or control enhancements
  • Providing support and advisory on business line remediation and recovery plans; and leading or facilitating various work streams of significant risk and compliance projects and initiatives.

  • Maintain subject matter expertise in applicable laws, regulations, regulator guidance, and leading compliance standards
  • Serve as a credible business partner representing the Compliance organization
  • Build and execute the requirements of the Compliance Management Program for HR
  • Provide business line advisory in the definition, development, and monitoring of controls related to applicable requirements
  • Conduct or support risk and control assessments across lines of business, for new processes/products, and for key programs and initiatives, advise business lines of identified risks, and support remediation efforts and/or policy and process changes
  • Evaluate audit, regulatory, and self-identified issues and events for compliance impacts
  • Coordinate with cross-functional teams to accomplish shared objectives
  • Support the management of issues with business lines and risk offices as they arise
  • Anticipate, identify, and escalaterisk scenarios early and propose potential mitigations
  • Create and implement an ongoing engagement model with HR to ensure compliance with policies, standards, and procedures
  • Review business area performance relative to key metrics
  • Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas
  • Recommend appropriate risk and compliance training, and evaluate additional training needs

Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 2 years of experience in HR
  • At least 5 years of experience in risk, compliance, audit, or legal

Preferred Qualifications:
  • Graduate Degree (M.B.A., J.D, or similar)
  • Relevant certifications such asCertified Regulatory Compliance Manager (CRCM), etc.
  • At least 3 years of experience in banking / financial services or related field
  • Proven ability to communicate, collaborate, and manage relationships with stakeholders at various levels in a highly matrixed organization
  • Strong written and verbal communication skills
  • High energy and a desire to work in a results-driven, rapid-growth environment
  • The judgment to analyze, evaluate, develop and effectuate solutions to complex problems
  • Team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills
  • Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsive to dynamic situations
  • Proven track record for delivering results

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Location is New York City: $142,979 - $168,683 for Compliance Advisor Manager

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

This 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.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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).