• Compliance Advisory Specialist Jobs in United States Of America - 25673455

  • United States Of America, Usa
  • Save Job
  • 5 - 8 Years
  • Posted : above 1 month

Job Description:

At Capital One, were building a leading information-based technology company Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking We measure our efforts by the success our customers enjoy and the advocacy they exhibit We are succeeding because they are succeeding

Guided by our shared values, we thrive in an environment where collaboration and openness are valued We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results We elevate each other and obsess about doing the right thing Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams Together, we are on a quest to change banking for good

Compliance Advisory Specialist

The Compliance Advisor performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations While working within the Compliance Management Program framework, the Compliance Advisor is responsible for delivering quality results, providing compliance advice to lines of business, and executing or participating in corporate processes

The Compliance Advisor will support lines of business by

Providing input on business regulatory requirements;
Providing guidance on business policies, standards, and procedures;
Leading and reviewing department training, as appropriate;
Providing compliance advice on 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


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
Advise lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
Develop strong understanding of applicable laws and regulations
Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts
Support lines of business through advice, influence adjustments to the processes, procedures, and controls
Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
Conduct targeted validations on controls over applicable regulations
Perform and review control assessments executed by peers for accuracy and adherence to test procedures
Involvement with compliance testing and third party compliance
Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations
Identify trends in data for potential risk impacts
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
Actively participate on complex projects through providing guidance, advise, and effective challenge
Perform UDAAP validations and reviews
Participate in reporting activities, as directed
Supporting Compliance teams as a subject matter expert
Flexibility to travel to various Capital One locations as necessary

Basic Qualifications

Bachelors Degree or military experience
At least 3 years of experience in compliance, legal, or audit
At least 5 years of experience working with internal business customers

Preferred Qualifications

Masters Degree
At least 5 years of experience in compliance, legal, or audit
CRCM, ACAMS, CIPP, or Series 7, 24, or 63/65 certifications

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

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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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 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 at 1-800-304-9102 or via email at RecruitingAccommodationcapitalonecom 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 Careerscapitalonecom

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site

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)

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Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Others - other Industry
Functional Area : HR/PM/IR/Training
Role : Recruitment
Salary : As per Industry Standards
Deadline : 15th Jul 2020

Key Skills:

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