Sr. Compliance Manager, Retail Deposit Products and Services Job
Capital One 2,480 reviews - Wilmington, DE

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Sr. Compliance Manager, Retail Deposit Products and Services-732828

Sr Compliance Advisor, Retail Bank Compliance

Level: Senior Manager

Do you like working in the spotlight? Are you ready to work on the front line of a top 10 Bank? Can you build relationships while developing and implementing innovative solutions? As a Sr. Compliance Advisor at Capital One you’ll be responsible for working with business partners to mitigate compliance risk by identifying, assessing, and documenting risks and associated controls. Sr. Compliance Advisors at Capital One are the front line of defense to ensure our Company remains stable and profitable.

Capital One is hiring for a Sr. Compliance Advisor on the Corporate Compliance, Retail Bank Compliance team. The team seeks an experienced Sr. Compliance Advisor with knowledge of and experience with retail bank branch and back-office operations. Sr. Compliance Advisors guide, advise and approve business area activities subject to financial services industry laws and regulations. They support the design and implementation of compliance controls and remediation actions for identified deficiencies. They advise business areas on the need for and effective methods of managing compliance risk arising from applicable laws and regulations, within a well defined risk management framework. In addition, they work with increasingly higher business line executives to ascertain the business lines’ overall adherence to compliance requirements and establish and communicate a clear view of compliance risks.


-Establish and maintain effective and productive partnerships with business partners.

-Guide and direct business partners to ensure compliance with applicable regulations.

-Review new business initiatives, product development and acquisition activities to promote and implement functionality required to support ongoing compliance.

-Provide guidance on compliance training needs, content and audiences.

-Identify applicability of new or changed regulatory requirements to lines of business processes, and provide guidance on operational changes that may be necessary to comply.

-Assess documentation of business controls and Compliance Management Program (CMP) related outputs to ensure it accurately reflects regulatory requirements.

-Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts.

-Assess regulatory and executive complaints for potential compliance impacts and work with the Complaints team to denote regulatory issues and events.

-Facilitate the implementation of corrective action plans aimed at mitigating compliance risk for identified issues and events. Maintain process for monitoring effective remediation or escalation, and accurate reporting of issues and events through resolution.

-Make recommendations for strengthening the design and/or execution of controls as needed.

-Engage with internal auditors and legal counsel as needed.

-Support the design, maintenance, and implementation of the Retail Bank Compliance Management Program. Updating it for changes in the regulatory environment.

-Manage and develop associates, as applicable, in support of their compliance work and professional career.

-Work independently under general supervision, with latitude for initiative and independent judgment.

-Maintain the highest professional standards.

-Other duties and responsibilities as assigned.

Basic Qualifications:

-5 years of financial services consumer compliance, legal or audit experience

-3 years of work experience within retail banking branch operations, back-office or support services

-Bachelor’s degree or military experience

Preferred Qualifications:

-7+ years of financial services consumer compliance, monitoring, auditing or examination experience.

-5+ years of work experience within retail banking operations with a concentration related to deposit products and services.

-Ability to analyze and determine business area applicability for consumer regulatory requirements

-Knowledge of Governance, Risk and Compliance (GRC) System methodologies a plus.

-CRCM, CAMS and/or CIPP/US certifications (if not, willingness to pursue)

-Flexibility to travel to various Capital One locations.

Job : Audit, Risk Management and Security
Primary Location : United States-Delaware-Wilmington-New Castle-Wilmington Plaza (18222)

Other Locations: United States-Texas-Plano-DFW-Plano People Center Bldg 4 (31064)
Schedule : Full-time
Travel : Yes, 10 % of the Time

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About this company
2,480 reviews
Capital One Financial Corporation, incorporated in July 21, 1994, is a diversified banking company focused primarily on consumer and...