Senior Investing Compliance Associate - Regulatory Relations

  • Company: Capital One
  • Location: McLean, Virginia
  • Posted: November 05, 2016
  • Reference ID: R13882
1750 Tysons (12023), United States of America, McLean, Virginia

Senior Investing Compliance Associate - Regulatory Relations

Title: Senior Investing Compliance Associate - Regulatory Relations

Level: Sr. Associate

Job Description:

The Senior Investing Compliance Associate 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 II is responsible for delivering quality results, providing compliance advice to the business, and executing or participating in corporate processes.

With limited managerial supervision, the Compliance Advisor will support the business by:
-Providing input on business regulatory requirements;
-Providing guidance on business policies, standards, and procedures;
-Participating in department training, as appropriate;
-Providing compliance advice on projects, as directed;
-Providing guidance on controls over regulatory requirements and line of business monitoring of those controls, as directed;
-Performing targeted tests on lines of business controls and provide guidance on identified risks, as directed

-Under managerial supervision, provide effective challenge and guidance on compliance risks and support the business through various interactions and forum engagements
-Advise 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 on the development and maintenance of the Compliance Program, such as how to monitor, report, and train
-Support the business by providing 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
-Involvement with compliance testing and third party compliance, as directed
-Maintain understanding of Compliance Risk Management Framework and applicable laws and regulations
-Identify trends in data produced by lines of business
-Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
-Actively participate on projects through providing guidance, advise, and effective challenge
-Participate in reporting activities, as directed
-Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:
-High School Diploma, GED or equivalent certification, or Military experience
-At least 2 years of experience working in a compliance role for a broker-dealer, or at least 2 years compliance experience working for an investment adviser, or at least 2 years of compliance experience working for a securities regulator (FINRA/SEC)
-Proficiency in Microsoft Office

Preferred Qualifications:
-Bachelor’s Degree
-3 years of supervision, or 3 years of compliance, or 3 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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