Manager, Investing Compliance Advisory

  • Company: Capital One
  • Location: Wilmington, Delaware
  • Posted: November 04, 2016
  • Reference ID: R13883
Oliver Evans (18222), United States of America, Wilmington, Delaware

Manager, Investing Compliance Advisory

Title:  Manager, Investing Compliance Advisory

Level:  Manager

Job Description:

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 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 lines of business processes comply with applicable laws and regulations. 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;
-Leading and reviewing 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

-Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
-Identify trends in data and advise on identified emerging risks
-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
-Actively participate on complex projects through providing guidance, advise, and effective challenge
-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 reporting activities, such as: NULAW, NPMIG, and other reports used by Senior Leadership
-Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:
-High School Diploma, GED or equivalent certification, or Military experience
-At least 4 years of experience working in a compliance role for a broker-dealer, or at least 4 years compliance experience working for an investment adviser, or at least 4 years of compliance experience working for a securities regulator (FINRA/SEC)

Preferred Qualifications:
-Bachelor’s Degree 
-6 years of supervision, or 6 years of compliance, or 6 years of surveillance experience in the securities industry
-FINRA Series 7, or Series 24, or Series 63/65 licenses

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

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