Compliance Advisor Manager (Regulatory Consumer Center of Excellence)
The Compliance Advisor Manager performs a key risk management role in the Regulatory Consumer Center of Excellence (COE) within Fair & Responsible Banking Compliance, an enterprise compliance program covering Fair Credit Reporting Act (Prescreen, Furnishing, Disputes), Military Laws (Service members Civil Relief Act, and Military Lending Act), Multilingual Servicing, UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), and other programs.
The COE Compliance Advisor Manager helps ensure that corporate initiatives and lines of business processes comply with the laws, regulations, policies and standards that fall within the COE’s scope of coverage. They are responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert, and executing or participating in corporate risk management processes.
The COE Compliance Advisor Manager maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making. The role will also be expected to:
Develop and expand subject matter expertise with relevant laws, regulations, regulatory guidance, and compliance standards
Partner with other Compliance Advisors, attorneys in the Legal department, and lines of business associates to provide guidance on applicable standards and related requirements, governance, controls to ensure consistent and effective risk management across different business areas
Develop tools, training, processes, and guidance to drive consistent and efficient advisory engagement within programmatic areas
Execute monitoring and other oversight activities associated with the standards owned by the COE
Develop and mature informative reporting on programmatic risk across the enterprise
Conduct or support risk assessments across lines of business for new processes, new products, key programs, and/or initiatives, advise lines of business of identified risks, and support remediation efforts and/or policy and process changes.
Anticipate, identify, and escalate risk scenarios early and propose potential mitigations.
Assess business area performance relative to key metrics
Provide effective challenge and guidance on compliance risks and support lines of business through collaborative interactions and engagements.
Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts and regulatory focus areas
Coordinate with cross-functional teams to accomplish shared objectives
Actively participate on complex projects by providing guidance, advice, and effective challenge
Assist in the promotion of a culture of compliance and managed risk taking
This role is designated as a hybrid position. You are expected to adhere to Capital One's hybrid policy regarding required on-site presence at your designated office location.
Basic Qualifications
Bachelor's Degree or Military Experience
At least 5 years of experience in compliance, legal, or audit
Preferred Qualifications
Master’s Degree or Juris Doctor
6 years + of experience in compliance, legal, or audit within the financial services industry
Certified Regulatory Compliance Manager
Strong written and verbal communication skills
Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations
At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).
The minimum and maximum full-time 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…