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Compliance Advisor Senior Manager - US Card

Employer
Capital One
Location
McLean, Virginia, United States
Closing date
Dec 3, 2023

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Job Details

Center 1 (19052), United States of America, McLean, Virginia

Compliance Advisor Senior Manager - US Card

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

The Compliance Advisor Senior Manager supports the line of business by:
  • Providing input on business regulatory requirements
  • Providing guidance on business policies, standards, and procedures
  • Developing and leading department training, as appropriate
  • Providing compliance advice and effective challenge 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:
  • Identify potential internal and external risks relating to the lines of business initiatives and processes and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
  • 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
  • Perform UDAAP validations and reviews
  • 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
  • Participate in governance activities, including: Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and Event Management, and others
  • Participate in reporting activities including Monthly Business Reviews, Quarterly Compliance Reviews and other reports used by Senior Leadership
  • Flexibility to travel to various Capital One locations as necessary


Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 6 years of experience in compliance, risk, legal or audit


Preferred Qualifications:
  • 7 or more years of experience in compliance, risk, legal or audit
  • Strong knowledge of Card Operations, Servicing, Systems and Platforms
  • CRCM certification, or ACAMS certification, or CIPP certification


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

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.

This role is expected to accept applications for a minimum of 5 business days.

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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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.

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 RecruitingAccommodation@capitalone.com . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).

Company

We Don’t Only Think Big Things—At Capital One, We Do Big Things.

You’re dedicated to your career. You deserve professional satisfaction and personal fulfillment. You belong at Capital One.

Here, every day brings another chance to do impactful work that matters: helping millions of customers confidently manage their money, building stronger communities and delivering truly disruptive tech. You’ll give your all alongside some of the brightest, most resilient people in the industry—and in return, you’ll enjoy the growth opportunities, support, flexibility and benefits you need for an exhilarating life both on and off the job.

Be inspired. Be yourself. That’s #LifeAtCapitalOne.

Creating a Culture of Belonging

At Capital One, we value diversity, inclusion and belonging at our core. We’re building a place of belonging—where everyone can feel seen, heard, valued and free to be their authentic selves. We want to be a place of opportunity—where associates from all backgrounds innovate for our customers and communities, and build meaningful, fulfilling careers.

We endeavor to be a welcoming and inspiring place for all. We seek and embrace diversity. And we’re committed to having a diverse and inclusive workforce, focused on increasing the representation of underrepresented groups, strengthening our culture of inclusion and belonging and harnessing our scale to invest in our communities.

We’re focused on three core principles to advance diversity, inclusion and belonging across Capital One:

Create a culture of belonging where everyone can thrive and innovate

Attract and develop talent from all backgrounds and experiences

Ensure our systems and programs promote fairness and equity

Get a career with more at Capital One.  Discover it for yourself today.

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, sexual orientation, gender identity, protected veteran status, disability or other protected status.

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