Job Abstract

Manager, Compliance Advisor

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #106 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

Summary: The Compliance Advisor Manager performs a key risk management role (second line of defense), to help ensure corporate initiatives and Upmarket’s consumer credit card business and processes comply with applicable laws and regulations. This role involves supporting and advising various Upmarket business areas such as acquisitions, customer management, and rewards. While working within the Compliance Management Program framework, the Compliance Advisor 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 Compliance Advisor Manager 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;

• Performing targeted tests on lines of business controls and provide guidance on identified risks

Responsibilities:

• 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 and regulations

• Perform and review control assessments executed by peers for accuracy and adherence to test procedures

• Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts

• Provide effective challenge and guidance on compliance risks and support lines of business 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

• 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 UD(A)AP validations and reviews

• Active involvement with compliance testing and third party compliance

• 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 and governance activities, such as: LAUNCH  and other reports used by Senior Leadership

• Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 3 years of experience in Compliance, Risk Management, Audit, Regulatory Examinations, or Legal

Preferred Qualifications:

• Master’s Degree

• 4+ years of experience in Compliance, Risk Management, Audit, Regulatory Examinations, or Legal

• CRCM (Certified Regulatory Compliance Manager) certification, or ACAMS (Certified Anti-Money Laundering Specialists) certification, or CIPP (Certified Information Privacy Professional) 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.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. 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. 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 drug-free 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 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s 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 at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. 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 One's recruiting process, please send an email to Careers@capitalone.com

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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).