Compliance Advisory Manager

at Capital One Services II, LLC in Wilmington, Delaware, United States

1307 Walt Whitman (22600), United States of America, Melville, New York

Compliance Advisory Manager

The Capital One Retail Bank Compliance team is seeking a Compliance Advisor Manager with a passion for advising and collaborating with business partners to mitigate consumer compliance risk and to take care of our customers. The Manager will join our Retail Bank Compliance team and act as a critical partner in the planning and execution of business initiatives and products to ensure compliance with federal and state consumer laws and regulations. The Manager will use their relationship building, expertise, and communication skills to analyze risks and drive actions that sustain business objectives and processes in a well-managed and compliant way. A successful Manager in this role will be highly self-motivated and possess a growth mindset, as well as be forward-thinking about the evolution of the consumer banking regulatory environment, technologically adept, and a keen problem solver.

Responsibilities

Provide guidance and effective challenge to our Retail Bank business on consumer compliance risks

Maintain subject matter expertise of existing consumer banking laws and regulations, including Reg CC, Reg DD, Reg B, FCRA, ADA, SCRA, Reg E, Reg O, UDAAP, CRA, and state laws pertaining to deposit accounts and UDAP

Develop strong working knowledge of business products, services, processes, and strategy

Communicate with and support business leaders through one-on-one and group/project interactions

Execute risk assessments and independently evaluate the effectiveness of the business's risk mitigation actions

Advise the business on the development of effective consumer compliance controls and monitoring, and steps to take to comply with changes in consumer banking laws and regulations

Closely follow emerging consumer banking trends, including the development of new laws and evolving emerging risks

Actively engage in problem solving and knowledge sharing with others within the Compliance and Legal departments

Participate in and support Compliance senior leadership with risk reporting and regulatory engagements

The ideal candidate will possess:

A focus on results and achieving short- and long-term goals

A proven track record of supporting and working across groups and functions and with a senior management team

Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry

Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team

Highly developed interpersonal, presentation, and communications skills (written and oral)

Strategic influencing skills, with the ability to build understanding and agreement among diverse groups

Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues

An understanding of how banking technology performs, and how consumer laws and regulations apply to the utilization of technology and data in serving our customers

Strong project management, process management, and organizational skills

Ability to balance operating independently with appropriate escalation to and interaction with senior leadership

Basic Qualifications:

Bachelor's Degree or military experience

At least 4 years of experience in compliance, legal, risk management, or audit

At least 3 years of experience supporting, partnering, and interacting with business clients

Preferred Qualifications:

Juris Doctor or Master's Degree

5+ years of experience in compliance, legal, risk management, or audit

Experience in the financial services industry

CRCM (Certified Regulatory Compliance Manager) certification

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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... For full info follow application link.

Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace. 

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.