Director, Compliance

The Compliance Advisor Director 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 Director 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 Director supports the line of business by :

Providing input on business regulatory requirements

Providing guidance on business policies, standards, and procedures

Developing and leading 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

Reviewing business controls and providing guidance on identified risks

Responsibilities :

Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts

Identify trends in data and proactively advise on identified external and internal 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 risky business areas 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 on areas of potential risk

Support lines of business through expert advice, including change management of processes, procedures, and controls

Conduct targeted validations and reviews on controls for applicable regulations

Active involvement with compliance testing and third party compliance

Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

Participate in reporting activities used by Senior Leadership

Basic Qualifications :

Bachelor’s Degree

Experience in legal, compliance, audit, or relevant experience at a financial institution

Preferred Qualifications :

Bachelor of Law (LLB) or Master of Law (LLM) Degree

Experience in regulatory compliance, reporting, and monitoring

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