Senior Manager, Compliance Advisor - Business Cards & Payments - Commercial Card
Senior Manager, Compliance Advisor - Business Cards & Payments - Commercial Card
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Job Description
The Senior Manager Compliance Advisor 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 Senior Manager Compliance Advisor supports the line of business by:
Providing input on business regulatory requirements
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
Providing guidance on business policies standards and procedures
Developing and leading department training as appropriate
Responsibilities:
Provide effective challenge and guidance on compliance risks and support risky lines of business through various interactions and forum engagements
Maintain subject matter expertise of applicable laws and regulations
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 risky 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
Perform Unfair Deceptive or Abusive Acts or Practices (UDAAP) validations and reviews
Active involvement with compliance testing and third party compliance
Identify trends in data and proactively advise on identified external and internal risks
Perform and review control assessments executed by peers for accuracy and adherence to test procedures
Review Complaints generated from lines of business and provide guidance on remediation escalate and facilitate with subject matter experts when necessary
Evaluate Internal Audit Regulatory Exam and selfidentified issues and events for compliance impacts
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
Participate in reporting activities such as: Legal Management Software (NULAW) New Products and Marketing Initiatives Governance (NPMIG) and other reports used by Senior Leadership
Manage and develop Advising Team in support of their compliance work and professional career
Flexibility to travel to various Capital One locations as necessary
Basic Qualifications:
Bachelors Degree or military experience
At least 6 years of financial services experience
At least 5 years of experience in compliance audit legal or risk management
Preferred Qualifications:
Masters Degree
At least 8 years of experience in compliance risk management audit or legal
CRCM certification or ACAMS certification or CIPP certification
Strong knowledge of Card Operations Servicing Systems and Platforms
At this time Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum fulltime 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 parttime roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean VA: $170800 $194900 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 candidates 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 wellbeing. Learn more at theCapital One Careers website. Eligibility varies based on full or parttime status exempt or nonexempt 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. Capital One promotes a drugfree 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 23A of the New York Correction Law; San Francisco California Police Code Article 49 Sections; New York Citys Fair Chance Act; Philadelphias 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 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
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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:
Senior Manager
Employment Type
Full-Time
