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Compliance Advisor Senior Manager
Capital One
McLean, USA
Full-time
Manager · 8+ years experience
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The Senior Manager, Compliance performs a key risk management role in the second line of defense, providing primary compliance support to the ‘New to Credit’ credit card business segment.
We are looking for a dynamic, strategic thought partner to implement the compliance strategy for this significant growth opportunity.
While working within the Compliance Management Program framework, the Senior Manager is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and ensuring that corporate initiatives and processes comply with applicable laws and regulations.
The Compliance Advisor Senior Manager supports the line of business by:
Serving as a strategic partner and providing proactive advisory during the product development lifecycle;
Partnering with business leaders to ensure compliance risk is integrated into business strategy and growth initiatives;
Providing proactive guidance on controls for new-to-credit products; and
Providing guidance on business policies, standards, and procedures to support compliant scaling.
Responsibilities
Identify potential internal and external risks relating to the lines of business initiatives and processes and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
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
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