Sr. Manager, Compliance
Sr. Manager, Compliance
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Job Description
The Compliance Senior Manager performs a key risk management role (second line of defense) to help identify emerging and trending risks stemming from analysis of complaints. While working within the Compliance Management Program framework the Compliance Senior Manager is responsible for managing a pipeline of topics for further research performing analysis in partnership with key stakeholders and producing formal reporting to effectively communicate results. This role supports and reports into the Enterprise Complaints Program in ensuring adherence to the Enterprise Complaints Standard.
The Compliance Senior Manager supports the Enterprise Complaints Program by:
Leading initiatives and ad hoc reviews to amplify the customer voice through complaints research and analytics
Managing relationships with first line teams and providing guidance on Enterprise complaints related topics.
Providing input on business regulatory requirements and enterprise complaints requirements
Providing guidance on business policies standards and procedures
Developing and leading department training as appropriate
Providing compliance advice and effective challenge on complex projects
Responsibilities:
Identify high priority topics in the complaints space for deep dive opportunities to uncover potential risks and poor customer experiences.
Advise lines of businesses on adherence to the Enterprise Complaints Standard
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 necessary
Maintain subject matter expertise of applicable laws regulations and standards.
Have a broad understanding of second line processes including issue research grounding opening and closure.
Support lines of business through expert advice influence adjustments to the processes procedures and adherence to the Standard
Maintain expert understanding of Compliance Risk Management Framework
Participate in reporting activities including Monthly Business Reviews Quarterly Compliance Reviews Enterprise Complaints Reporting and other reports used by Senior Leadership
Have an eye for innovation and the ability to operate in complex environments and gray space.
Drive results that are meaningful actionable and repeatable.
Ability to communicate complex results to senior audiences effectively and with the appropriate level of detail.
Basic Qualifications:
Bachelors Degree or military experience
At least 6 years of financial services experience
At least 3 years of experience in compliance risk management or audit roles
Preferred Qualifications:
Masters Degree or Juris Doctorate Degree
7 years of experience in compliance risk or audit
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.
Plano TX: $155300 $177200 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:
Manager
Employment Type
Full-Time
