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R128073 Posted 11/22/2021

Senior Associate- Compliance Advisory Specialist II

McLean , Virginia | Plano , Texas
  • Category Risk Management
  • Experience Sr. Associate
  • Primary Address McLean, Virginia

Overview

Center 2 (19050), United States of America, McLean, Virginia

Senior Associate- Compliance Advisory Specialist II

The Privacy Compliance Advisor II performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable privacy laws and regulations. While working within the Compliance Management Program framework, the Privacy Compliance Advisor II is responsible for delivering quality results, providing compliance advice to lines of business, and executing or participating in corporate processes. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously.  In addition, the role requires great attention to detail and excellent verbal and written communication skills.  

With limited managerial supervision, the Compliance Advisor II will support lines of business by:

-Providing input on business regulatory requirements (e.g., GLBA, FCRA, FACTA, TCPA, TSR, CAN-SPAM, FFIEC guidance, and CCPA/CPRA);

-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;

Responsibilities:

-Under managerial supervision, 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

-Advise 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 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

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

Basic Qualifications:

-Associate’s degree or military experience

-At least 1 year of experience  working in highly regulated industry or financial services, specifically within accounting or audit

-At least 1 year of experience working with Microsoft Office

Preferred Qualifications:

-Bachelor’s Degree

- At least 2 years of financial services consumer compliance monitoring, auditing or examination experience

-CRCM, ACAMS, CIPP, or Series 7, 24, or 63/65 certifications, as appropriate

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

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

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