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Sr. Manager US Card Partnerships Compliance Advisor

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77 West Wacker Dr (35012), United States of America, Chicago, Illinois

Sr. Manager US Card Partnerships Compliance Advisor

Job Description:

The Compliance Advisor Senior Manager performs a key risk management role (second line of defense) by ensuring business line initiatives and processes comply with applicable consumer laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor Senior Manager is responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert, and executing or participating in corporate risk management processes.

The Compliance Advisor Senior Manager supports business lines by:

-Providing subject matter expertise and guidance on lending compliance requirements;

-Providing effective challenge and guidance on compliance risks and supporting business line through various interactions and forums;

-Leading and advising on due diligence and integration efforts;

-Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans;

-Providing guidance on controls over compliance requirements and business line monitoring of those controls; and

-Performing risk-based design reviews of business line controls and providing guidance on identified risks.

Responsibilities:

-Maintain subject matter expertise of applicable laws and regulations and Compliance Risk Management framework

-Maintain understanding of business line operating processes, strategies, products, and services

-Provide effective challenge and guidance on compliance risks and support business line through various interactions and forums

-Support business line by providing expert advice and influencing changes to processes, procedures, and controls to mitigate compliance risk

-Determine compliance requirement applicability to business line products and processes

-Advise business line on compliance requirement applicability for new products and/or processes and changes in law or regulation

-Conduct compliance risk assessment of new products and initiatives and advise business of compliance risk(s) associated risks; support business during new product and initiative implementation

-Review new/revised business line policies, standards and procedures

-Help business line determine appropriate training audience, delivery channel(s), and training frequency for compliance training

-Review business line training materials with compliance related content for accuracy and completeness

-Provide business line guidance on developing and executing controls and monitoring plans

-Assess operational breakdowns for compliance risk and provide guidance on remediation/recovery plans

-Identify trends in data and advise on identified emerging risks

-Review business line performance and escalate high risks and issues

-Communicate compliance risk appetite and key performance metrics to business line and monitor business plans to ensure compliance risk remains within approved appetite

-Evaluate Internal Audit, regulatory exam, and self-identified issues and events for compliance impacts

-Monitor external compliance environment, emerging risks, regulatory focus areas

-Assist business line in developing and maintaining their Compliance Management Program

Basic Qualifications:

-Bachelor’s Degree or Military Experience

-At least 6 years of experience in compliance risk management, or at least 6 years of experience in legal, or at least 6 years of experience in audit

Preferred Qualifications:

-Master’s Degree

-At least 8 years of experience in compliance risk management, or 8 years of experience in legal, or 8 years of experience in audit

-Certified Regulatory Compliance Manager (CRCM) certification

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 [email protected]. 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 [email protected]

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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Cynthia Puryear

Enterprise Supplier Management, Chief of Staff Office

A HARMONIOUS APPROACH

Refreshing takes priority here

Whether logging time with family or hitting the gym, Cynthia Puryear relishes the ability to take time off and feel rejuvenated in her role. What makes it happen? She credits a culture of understanding and flexibility, along with different resources (think: live exercise classes) that facilitate unplugging. “At the end of the day, it’s not one-size-fits-all, and I love that,” she said. For example, that could mean taking advantage of initiatives like “Invest In Yourself Days,” which Puryear enjoys using to read up on public relations industry material and concentrate on her own development.

Having work-life balance makes all the difference in the world. I find myself more refreshed, more rested and more creative, which all leads to me being a great contributor to my team.

Dave Rodgers

Unit Manager, Credit Card Division

SOLID SUPPORT

A considered approach to remote work

Remote work suits each individual differently. As a unit manager in the credit card division, Dave Rodgers finds the remote experience “very rewarding,” highlighting its benefits for collaboration, teamwork, work focus and problem-solving. And that environment supports more than just productivity. Rodgers said the company created the space to have open and substantive dialogue around social injustice over the past couple of years. “The level of vulnerability in sharing concerns and the willingness to listen created even closer relationships across teams,” he said.

The success of working remotely is based on the culture that has been created and the technology that we have in place.

Renee McKeon

Vice President Experience Design

CREATIVE ENGAGEMENT

Connecting with customers and users

Renee McKeon is emphatic about ensuring people are poised to succeed as they create “iconic customer experiences” for both colleagues and customers. “The best way I can do this is to ensure I help bring out the best in my teams and ensure we’re having fun along the way,” McKeon said, detailing her leadership style as grounded in ingenuity, kindness and respect. And while her team has tallied plenty of wins thus far — like making improvements to Capital One’s Auto Navigator tool — the leader is amped up for the future: “I’m excited to build on our momentum and reach for the stars.”

I believe in the good in people, and I want to cultivate that. I work to really see and hear people, and to help them make the most of their talents.

What are Capital One Perks + Benefits

Capital One Benefits Overview

At Capital One, we're committed to ensuring you and your family feel supported and cared for, and we know that your benefits play a large role in that support. Our goal is to provide a comprehensive and competitive set of benefits that offer the flexibility and choice to meet the diverse needs of all associates. We want each of you to Be Well physically, emotionally, and financially.

Culture

Volunteer in local community

Volunteer projects are encouraged and supported by Capital One through both traditional monetary contributions and flexibility to participate in associate-led initiatives.

Partners with nonprofits

Capital One’s philanthropy program provides grants to organizations that support education, financial literacy and community development, including affordable housing and small business development.

Open door policy

OKR operational model

Team based strategic planning

Pair programming

Open office floor plan

Flexible work schedule

Remote work program

Diversity

Documented equal pay policy

Dedicated diversity and inclusion staff

Mandated unconscious bias training

Diversity manifesto

Mean gender pay gap below 10%

Diversity employee resource groups

Business Resource Groups (BRGs) play an important role in attracting world-class talent, developing tomorrow’s leaders, engaging and retaining our diverse workforce and enhancing our workplace.

Hiring practices that promote diversity

Our professional recruiting teams focus on attracting underrepresented talent for our key business roles, including analyst, product, and tech roles across varied tactics and connection points.

Health Insurance + Wellness

Flexible Spending Account (FSA)

Capital One offers two flexible spending accounts (FSAs) – a Health Care FSA and Dependent Care FSA – administered by Anthem.

Disability insurance

Capital One automatically provides full-time associates with Short-Term Disability and Basic Long-Term Disability coverage at no cost. You have the option to purchase Supplemental Long-Term Disability

Dental insurance

Capital One offers coverage through Delta Dental to help you maintain your smile through regular preventive care and treatment for any dental problems that may arise.

Vision insurance

To help you keep life in focus, vision coverage through Anthem Blue View Vision provides benefits for eye exams and vision correction treatment.

Health insurance

Our medical plans provide comprehensive and affordable coverage for a range of health care services and are designed with the ability to be flexible and choose which benefits work for your needs.

Life insurance

We provide full-time and eligible part-time associates with Basic Life, and Accidental Death and Personal Loss (AD&PL) Insurance at no cost.

Wellness programs

Mental health benefits

Capital One's Employee Assistance Program provides a robust set of services including telephonic, virtual and/or face-to-face counseling, legal and financial assistance, ID theft recovery, and more.

Financial & Retirement

401(K)

Through automatic payroll deductions, you may contribute up to 50% of your Annual Benefits Salary (base salary, shift differential, bonuses, commission, incentives and overtime) to your account.

401(K) matching

Capital One will match 100% of the first 3% of Annual Benefits Salary that you contribute, plus 50% of the next 3% of Annual Benefits Salary that you contribute.

Employee stock purchase plan

You can elect to contribute between 1% and 15% of your base salary** to the ASPP and receive a partial match on your contributions from Capital One. **Includes standard pay and any commissions

Charitable contribution matching

Child Care & Parental Leave

Childcare benefits

The Bright Horizons Care Advantage Program provides alternative child and adult care options during a lapse or breakdown in normal care arrangements.

Generous parental leave

Flexible parental leave options are available to full-time associates at the time of their child’s birth or arrival in their home.

Family medical leave

Adoption Assistance

The Adoption Reimbursement program provides financial support to full-time associates who are building their families through adoption.

Vacation + Time Off

Generous PTO

Paid holidays

Paid sick days

Office Perks

Commuter benefits

Company-sponsored outings

Company-sponsored happy hours

Onsite office parking

Recreational clubs

Relocation assistance

Fitness stipend

Home-office stipend for remote employees

Onsite gym

Professional Development

Job training & conferences

Tuition reimbursement

Lunch and learns

Promote from within

Mentorship program

Continuing education stipend

Continuing education available during work hours

Online course subscriptions available

Customized development tracks

Paid industry certifications

Additional Perks + Benefits

Capital One’s perks and benefits are progressive and industry leading. We have always believed in the importance of providing comprehensive and expansive benefits to complement and contribute to our associates’ total compensation package. For example, we were one of the first major companies to offer same-sex marriage benefits back in 1997 and we have since continued to build our benefits portfolio to include a host of other LGBTQ+ friendly offerings, from fertility coverage to reimbursements for associates who chose to build their families through adoption and surrogacy, to domestic partner benefits and health coverage for gender reassignment. In addition, Capital One’s campuses offer fitness facilities, cafés and, at certain locations, onsite health services for associates and their families. Our benefits package is unique as it provides flexibility for you to determine your path to health, wealth and life support.

View full list of perks + benefits

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