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Capital One · 10 hours ago

Senior Manager, Compliance Advisor - Retail Bank

New York, NY

Full-time

Hybrid

Senior Level

$155K/yr - $177K/yr

6+ years exp

Capital One is a financial services company, and they are seeking a Senior Manager, Compliance Advisor for their Retail Bank division. This role involves ensuring compliance with applicable laws and regulations, providing compliance advice, and supporting various business initiatives within the Retail Bank.

BankingCredit CardsFinanceFinancial Services

Comp. & Benefits

No H1B

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 including UDAAP, Regulation CC, and Regulation E

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

Perform UDAAP 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 governance activities, including: Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and Event Management, and others

Participate in reporting activities including Monthly Business Reviews, Quarterly Compliance Reviews and other reports used by Senior Leadership

Flexibility to travel to various Capital One locations as necessary

Qualification

Compliance Management ProgramRegulatory requirements expertiseCompliance certificationsRisk management experienceFinancial services experienceAnalytical skillsTraining developmentLeadership skillsCommunication skills

Required

Bachelor's Degree or military experience

At least 6 years of compliance, risk, legal or audit experience within financial services

Preferred

Master's Degree or Juris Doctor

7+ years of experience in compliance, risk, legal or audit experience within financial services

Experience with models, data science or artificial intelligence

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