Compliance Advisory Manager

4 weeks ago


Wilmington, United States Capital One Full time
1307 Walt Whitman (22600), United States of America, Melville, New YorkCompliance Advisory Manager

The Capital One Retail Bank Compliance team is seeking a Compliance Advisor Manager with a passion for advising and collaborating with business partners to mitigate consumer compliance risk and to take care of our customers. The Manager will join our Retail Bank Compliance team and act as a critical partner in the planning and execution of business initiatives and products to ensure compliance with federal and state consumer laws and regulations. The Manager will use their relationship building, expertise, and communication skills to analyze risks and drive actions that sustain business objectives and processes in a well-managed and compliant way. A successful Manager in this role will be highly self-motivated and possess a growth mindset, as well as be forward-thinking about the evolution of the consumer banking regulatory environment, technologically adept, and a keen problem solver.

Responsibilities

Provide guidance and effective challenge to our Retail Bank business on consumer compliance risks 

Maintain subject matter expertise of existing consumer banking laws and regulations, including Reg CC, Reg DD, Reg B, FCRA, ADA, SCRA, Reg E, Reg O, UDAAP, CRA, and state laws pertaining to deposit accounts and UDAP 

Develop strong working knowledge of business products, services, processes, and strategy

Communicate with and support business leaders through one-on-one and group/project interactions

Execute risk assessments and independently evaluate the effectiveness of the business’s risk mitigation actions

Advise the business on the development of effective consumer compliance controls and monitoring, and steps to take to comply with changes in consumer banking laws and regulations 

Closely follow emerging consumer banking trends, including the development of new laws and evolving emerging risks

Actively engage in problem solving and knowledge sharing with others within the Compliance and Legal departments 

Participate in and support Compliance senior leadership with risk reporting and regulatory engagements

The ideal candidate will possess:

A focus on results and achieving short- and long-term goals

A proven track record of supporting and working across groups and functions and with a senior management team

Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry

Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team

Highly developed interpersonal, presentation, and communications skills (written and oral)

Strategic influencing skills, with the ability to build understanding and agreement among diverse groups

Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues

An understanding of how banking technology performs, and how consumer laws and regulations


  • Senior Manager

    3 weeks ago


    Wilmington, United States Leadenhall Search & Selection Full time

    Accounting Advisory, Big 4 Experience in Wilmington, DelawareConsultants work as part of a team to advise on complex Accounting related topics. The roles offer great culture, work-life balance and very competitive salary.In this role:Gain exposure to a wide range of projects.Make a true business impact with your clients.Own projects from start to...

  • Senior Manager

    4 days ago


    Wilmington, United States Leadenhall Search & Selection Full time

    Accounting Advisory, Big 4 Experience in Wilmington, DelawareConsultants work as part of a team to advise on complex Accounting related topics. The roles offer great culture, work-life balance and very competitive salary.In this role:Gain exposure to a wide range of projects.Make a true business impact with your clients.Own projects from start to...

  • Senior Manager

    1 month ago


    Wilmington, United States Leadenhall Search & Selection Full time

    Accounting Advisory, Big 4 Experience in Wilmington, DelawareConsultants work as part of a team to advise on complex Accounting related topics. The roles offer great culture, work-life balance and very competitive salary.In this role:Gain exposure to a wide range of projects.Make a true business impact with your clients.Own projects from start to...


  • Wilmington, United States R+L Carriers Full time

    Duties as a Construction and Facilities Compliance Warranty Manager: Will include managing the warranty processes thought out the projects life cycle, claims, and establishing and implementing warranty-related policies and procedures. You will analyze and assess warranty claims and data to determine their validity, eligibility, and accuracy on all new...


  • Wilmington, United States R+L Carriers Full time

    Duties as a Construction and Facilities Compliance Warranty Manager: Will include managing the warranty processes thought out the projects life cycle, claims, and establishing and implementing warranty-related policies and procedures. You will analyze and assess warranty claims and data to determine their validity, eligibility, and accuracy on all new...


  • Wilmington, United States JPMorgan Chase & Co. Full time

    Develop and execute complex Compliance program to manage regulatory exposureSupport Compliance oversight within the firms Card Services organization. Knowledge and understanding of Credit Cards, Risk, Fraud, Rewards & Benefits, Card networks, Digita Risk, Vice President, Lead, Management, Compliance, Compliance Manager, Banking


  • Wilmington, United States University of North Carolina Wilmington Full time

    The Research Compliance Specialists primary responsibilities are to review grant proposals for and advise investigators about potential compliance requirements, coordinating and conducting the RCR training program, managing the RIO websites, and cre Compliance Specialist, Research, Compliance, Specialist, Clinical Research, Education


  • Wilmington, United States BlackRock, Inc. Full time

    Are dynamic, but typically include:Key responsibilities:Investment guideline monitoring of both BlackRock investment funds and client mandates. Pre-trade and Post-trade investment guideline exception investigation & resolution. Working closely with p Compliance Analyst, Portfolio, Compliance, Portfolio Manager, Analyst, Investment, Banking


  • Wilmington, Delaware, United States Incyte Corporation Full time

    Overview: Incyte is a biopharmaceutical company focused on the discovery, development, and commercialization of novel medicines to meet serious unmet medical needs in oncology and inflammation and autoimmunity. Incyte is committed to the rigorous pursuit of research and development excellence to improve the lives of patients, make a difference in health...


  • Wilmington, United States University of North Carolina Wilmington Full time

    Brief Summary of Work for this Position The Research Compliance Specialist’s primary responsibilities are to review grant proposals for and advise investigators about potential compliance requirements, coordinating and conducting the RCR training program, managing the RIO websites, and creating reports for all RIO programs. These responsibilities...

  • Corporate Compliance

    4 weeks ago


    Wilmington, United States ChristianaCare Full time

    ChristianaCare is searching for a Corporate Compliance & Privacy Auditor to join the team.This position will execute moderate-to-complex level audits and participate in the evaluation of the adequacy, effectiveness, and efficiency of internal controls and identify weaknesses, along with providing recommendations to mitigate those weaknesses. This position is...


  • Wilmington, United States Bank of America Corporation Full time

    Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for...

  • Mgr Ops Compliance

    3 days ago


    Wilmington, United States Amtrak Full time

    **Your success is a train ride away!** As we move America’s workforce toward the future, Amtrak connects businesses and communities across the country. We employ more than 20,000 diverse, energetic professionals in a variety of career fields throughout the United States. The safety of our passengers, our employees, the public and our operating environment...

  • management analyst

    7 days ago


    Wilmington, Delaware, United States Army National Guard Units Full time

    1. Manages full-time manpower requirements for the state. Reviews determinations of manpower requirements for the Army National Guard and ensures requirements are proper according to workload factors contained in various staffing standards, equipment allocations authorized by Modified Table of Organizational Equipment (MTOE) and Table of Distribution and...

  • hr spec

    1 month ago


    Wilmington, Delaware, United States Department Of The Air Force Full time

    SummaryTHIS IS A NATIONAL GUARD TITLE 32 EXCEPTED SERVICE POSITION.This National Guard position is for a HR SPEC (INFORMATION SYSTEMS), Position Description Number D1842000&D1621000 and is part of the DE 166 Force Support Squadron, National Guard.Duties 1. Provides broad management advisory services. Analyzes and resolves operational problems and ensures...


  • Wilmington, Delaware, United States CSC Corptax Full time

    Job DescriptionService Team Leader - Compliance Support TeamOn-Site Wilmington, DEMonday-Friday, 9am-6pmCSC's Compliance Support Team is seeking a Team Leader to lead a team of Customer Service Associates who are responsible for providing great customer service, while ensuring quality, efficiency, and timeliness of client responses for Annual Reports and...


  • Wilmington, Delaware, United States Department Of The Air Force Full time

    SummaryTHIS IS A NATIONAL GUARD TITLE 32 EXCEPTED SERVICE POSITION.This National Guard position is for a INSPECTIONS SPECIALIST (COORDINATOR), Position Description Number D2896000 and is part of the DE 166 Airlift Wing, National Guard.DutiesAs part of the Wing IG team, plans, organizes, and executes a wide range of complex activities for the wing CCIP, which...


  • Wilmington, United States AAM LLC Full time

    Del Webb at Riverlights in Wilmington, NC is a developing 55+ active adult community that will consist of 547 single-family homes upon completion. The community includes a 15,000 square foot amenity center with a multi-purpose room, resort-style pool, event lawn, state-of-the-art fitness center, tennis, bocce and pickleball courts, social clubs, volunteer...


  • Wilmington, United States Voya Financial Advisors Inc Full time

    Voya Financial Advisors®, Inc., a leading independent broker-dealer in the defined contribution & defined benefit business, is currently seeking a Financial Professional to join our team in the greater Wilmington Delaware area. This position will be responsible for 403(b)/457 enrollment, retirement and investment strategies, and participant education and...


  • Wilmington, United States EPM Scientific Full time

    A rapidly growing biotech organization is growing out their microbiology team! This is not a bench position. This position is more centered towards contamination control and method validation. See the key responsibilities below : Sterility Assurance and Contamination Control Ensure the site's compliance with sterile processing and contamination control...