Director Compliance
Director Compliance
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
The Compliance Advisor Director 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 Director 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 Director supports the line of business by:
Providing input on business regulatory requirements
Providing guidance on business policies standards and procedures
Developing and leading 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
Reviewing business controls and providing guidance on identified risks
Responsibilities:
Review Complaints generated from lines of business and provide guidance on remediation escalate and facilitate with subject matter experts
Identify trends in data and proactively advise on identified external and internal 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 selfidentified issues and events for compliance impacts
Provide effective challenge and guidance on compliance risks and support risky business areas 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 on areas of potential risk
Support lines of business through expert advice including change management of processes procedures and controls
Conduct targeted validations and reviews on controls for applicable regulations
Active involvement with compliance testing and third party compliance
Assist in capturing maintaining and analyzing compliance data interpreting it to ensure consistency and adequate Compliance Risk Management
Participate in reporting activities used by Senior Leadership
Basic Qualifications:
Bachelors Degree
Experience in legal compliance audit or relevant experience at a financial institution
Preferred Qualifications:
Bachelor of Law (LLB) or Master of Law (LLM) Degree
Experience in regulatory compliance reporting and monitoring
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 ator via email at . 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 Ones recruiting process please send an email to
Capital One does not provide endorse nor guarantee and is not liable for thirdparty 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).
Required Experience:
Director
Employment Type
Full-Time
