Senior Manager, Compliance Advisor

Overview Senior Manager, Compliance Advisor - Retail BankThe Senior Manager, Compliance Advisor - Retail Bank performs a key risk management role (second line of defense), to help ensure corporate initiatives and processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Retail Bank Compliance Advisor 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 Retail Bank Compliance Advisor will support and advise on the following areas within the Retail Bank: Customer Protection to include Fraud Strategy and Prevention, Fraud Investigations, Claims and Disputes.The Senior Manager supports the line of business by:Providing input on business regulatory requirementsProviding guidance on business policies, standards, and proceduresDeveloping and leading department training, as appropriateProviding compliance advice and effective challenge on complex projectsProviding guidance on controls over regulatory requirements and line of business monitoring of those controlsResponsibilities: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 necessaryMaintain subject matter expertise of applicable laws and regulations including UDAAP, Regulation CC, and Regulation EPerform and review control assessments executed by peers for accuracy and adherence to test proceduresEvaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impactsProvide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagementsAdvise 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 regulationAssist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and trainSupport lines of business through expert advice, influence adjustments to the processes, procedures, and controlsPerform UDAAP validations and reviewsActive involvement with compliance testing and third party complianceMaintain expert understanding of Compliance Risk Management Framework and applicable laws and regulationsAssist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk ManagementParticipate in governance activities, including: Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and Event Management, and othersParticipate in reporting activities including Monthly Business Reviews, Quarterly Compliance Reviews and other reports used by Senior LeadershipFlexibility to travel to various Capital One locations as necessaryBasic Qualifications:Bachelor’s Degree or military experience At least 6 years of compliance, risk, legal or audit experience within financial services Preferred Qualifications:Master’s Degree or Juris Doctor7+ years of experience in compliance, risk, legal or audit experience within financial servicesExperience with models, data science or artificial intelligenceCompliance certification(s) (CRCM (Certified Regulatory Compliance Manager), ACAMS (Certified Anti-Money Laundering Specialists) or CIPP (Certified Information Privacy Professional))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.McLean, VA: $170,800 - $194,900 for Compliance Advisor Sr. ManagerRichmond, VA: $155,300 - $177,200 for Compliance Advisor Sr. ManagerCandidates 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. 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.