Senior Manager, Compliance Advisory

2 days ago

McLean VA United States Capital One Full time

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

Senior Manager, Compliance Advisory - US Card

Title: Senior Manager, Compliance Advisory - US Card Fraud & Merchant Disputes

Level: Sr Manager

Job Description:

The Compliance Advisor Senior 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 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:

  1. Providing input on business regulatory requirements;
  2. Providing guidance on business policies, standards, and procedures;
  3. Developing and leading department training, as appropriate;
  4. Providing compliance advice on complex projects;
  5. Providing guidance on controls over regulatory requirements and line of business monitoring of those controls;
  6. Performing targeted tests on lines of business controls and provide guidance on identified risks.

Responsibilities:

  1. Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary.
  2. Identify trends in data and proactively advise on identified external and internal risks.
  3. Maintain subject matter expertise of applicable laws and regulations.
  4. Perform and review control assessments executed by peers for accuracy and adherence to test procedures.
  5. Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts.
  6. Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements.
  7. 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.
  8. Assist risky lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train.
  9. Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls.
  10. Conduct targeted validations and reviews on controls over applicable regulations.
  11. Perform UDAAP validations and reviews.
  12. Active involvement with compliance testing and third party compliance.
  13. Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations.
  14. Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management.
  15. Participate in reporting activities, such as: NULAW, NPMIG, and other reports used by Senior Leadership.
  16. Manage and develop Advising Team in support of their compliance work and professional career.
  17. Flexibility to travel to various Capital One locations as necessary.

Basic Qualifications:

  1. High School Diploma, GED or equivalent certification.
  2. At least 5 years of experience in compliance, risk, or legal.

Preferred Qualifications:

  1. Bachelor's Degree.
  2. 2+ years of risk experience in fraud and disputes.
  3. 6+ years of experience in compliance, risk, or legal.
  4. Experience with Regulation Z.
  5. Certified Regulatory Compliance Manager (CRCM) certification, or Association of Certified Anti-Money Laundering Specialists (ACAMS certification, or Certified Information Privacy Professional (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.

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