Compliance Advisor – Manager
Capital One
full-time
Posted on:
Location Type: Office
Location: Richmond • Virginia • 🇺🇸 United States
Visit company websiteSalary
💰 $132,800 - $166,700 per year
Job Level
Mid-LevelSenior
About the role
- Maintain expert knowledge of applicable consumer and small business banking laws and regulations, keeping up with and advising the business on current and emerging developments
- Provide effective challenge and advice through regular interaction with business partners and risk management colleagues, both 1:1 and in group settings, to influence process development, procedures, controls, and monitoring
- Exercise sound judgment to effectively assess, dimension, and balance risk when providing compliance advice to the business
- Evaluate new business initiatives and participate in complex projects to identify potential compliance risk and risk mitigation activities, and effectively challenge business to remain within approved compliance risk appetite
- Determine and/or validate applicability of laws and regulations to business processes; Provide guidance on and assess adequacy of controls over regulatory requirements and business line monitoring of those controls
- Assess the impact and potential compliance risk exposure of operational breakdowns or findings, including customer complaints, and advise business during remediation
- Identify trends in internal and external compliance data and proactively advise on current and emerging risks
- Perform and/or participate in compliance risk assessments of business processes and products.
Requirements
- Bachelor’s Degree or Military experience
- At least 3 years experience of compliance risk management, risk management, legal, audit, or regulatory examiner experience
- Master’s Degree or Juris Doctor (Preferred)
- 6+ years of compliance risk management, risk management, legal, regulatory examiner, audit, or regulatory examiner experience (Preferred)
- Certified Risk Professional (CRP), Certified Regulatory Compliance Manager (CRCM), or Certified Compliance and Ethics Professional (CCEP) (Preferred)
Benefits
- Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance risk managementrisk managementlegal analysisauditregulatory examinationrisk assessmentprocess developmentcontrols monitoringregulatory requirementsrisk mitigation
Soft skills
effective communicationsound judgmentinfluencingadvisingproblem-solvingtrend analysiscollaborationremediation guidanceproactive advisinginterpersonal skills
Certifications
Certified Risk Professional (CRP)Certified Regulatory Compliance Manager (CRCM)Certified Compliance and Ethics Professional (CCEP)