Compliance Advisor Manager

Compliance Advisor Manager
The Compliance Advisor Manager performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable 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 lines of business as a subject matter expert, and executing or participating in corporate processes.
The Compliance Advisor Manager supports the line of business by:

• Providing input on business regulatory requirements
• Providing guidance on business policies, standards, and procedures
• Leading and reviewing department training, as appropriate
• 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

Responsibilities:

• Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
• Identify trends in data and advise on identified emerging risks
• 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
• Actively participate on complex projects through providing guidance, advise, and effective challenge
• 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
• Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:

• Bachelor's Degree or military experience
• At least 5 years of experience in compliance, legal, audit or risk management

Preferred Qualifications:

• Master's Degree or other graduate degree
• Understanding of State Level Lien Release requirements, Fiduciary Rights, Electronic Fund Transfer Act (Regulation E), and National Automated Clearing House Association (NACHA) requirements
• 5+ years of experience supporting, partnering, and interacting with internal business clients
• 6+ years of experience in compliance, legal or audit
• Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) certifications
• Proficient in Google suite

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.
Plano, TX: $132,800 - $151,600 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.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 [email protected] . 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 [email protected]
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).