Compliance Advisor- Enterprise Services, Principal Associate
- Employer
- Capital One
- Location
- Richmond, Virginia
- Closing date
- Mar 26, 2021
View more
- Industry
- Financial Services and Banking
- Function
- Finance
- Hours
- Full Time
Job Details
Compliance Advisor- Enterprise Services, Principal Associate
Capital One's digital transformation and growth presents an exciting opportunity to provide leading edge, innovative approaches to compliance risk management. Capital One is increasingly using technology to further its most dynamic, innovative products, which includes providing these products and services to both internal lines of business and external customers. This calls for innovative ways for us to think about compliance and risk in a way that helps the business succeed, safely and swiftly.
The Principal Compliance Advisor will be up for the challenge of supporting the Enterprise Services (ES) Compliance Advisory team in managing critical components of our Compliance Management Program (CMP). This associate will support various compliance advisory responsibilities for Enterprise Services business areas (including Technology, Enterprise Product and Platforms, Brand) with compliance risk assessments; identification of regulatory requirements and risks associated with business processes and initiatives; performing data analysis and reporting to support compliance risk assessments or the proactive identification of potential areas of risk; serve as a liaison or directly support Enterprise Services/Enterprise wide initiatives or processes. .
The Principal Compliance Advisor will engage with multiple areas within Enterprise Services, Compliance and Risk Management Division as well as the extended Enterprise Services and Privacy Compliance team.
Key Responsibilities of this role: The Principal Compliance Advisor is responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert in laws and regulations related to businesses supported. Additional responsibilities include:
- Provide Compliance advisory support for one or more ES business units
- Serve a liaison with business risk office to understand initiatives that may impact Compliance Advisory
- Conduct review of new/changed laws and regs to determine applicability to business processes
- Serve as ES Compliance representative at various forums to determine impacts and areas of engagement for the team
- Manage the centralized ES compliance risk inventory that is used for new product, marketing, initiatives and other risk assessments
- Facilitate the creation, review or update Compliance specific training
- Develop draft documents for the team to leverage with client groups.
- Facilitate the consolidation of feedback and review data packs to identify areas requiring additional review in support of risk identification processes
- Facilitate the review of JIRA board in team stand-ups to highlight upcoming deliverables, flagging upcoming/past due activities as well as owning management of board for own deliverable.
- Synthesize data from various reports (i.e Advisory Trending, Issue/Event dashboard, Tech Risk Dashboard)
- Develop and manage the intake process to support business requests for engagement of Compliance Advisory staff.
- Partner with local compliance governance team in support of management reporting; requests and initiatives
Ideal Candidate will have:
- The desire and aptitude to think innovatively and proven track record for delivering results
- A successful track record of thriving in a fast paced, entrepreneurial and dynamic environment
- The proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organization
- High energy and a desire to work in a results-oriented, rapid growth environment
- The ability 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
BASIC QUALIFICATIONS
- Bachelor's Degree or military experience
- At least 2 years of experience in Compliance, Risk Management, Legal, or Audit
- At least 3 yeas of experience working with internal business clients
PREFERRED QUALIFICATIONS :
- At least 4 years of experience working within a technical, FinTech or highly regulated industry
- At least 4 years of experience in Audit, Risk, Controls, Compliance or related functions
- At least 4 years experience working cross-functionally, individually, land communicating across all levels of leadership
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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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