Sr. Manager, Compliance

Sr. Manager, Compliance
The Compliance Senior Manager performs a key risk management role (second line of defense), to help identify emerging and trending risks stemming from analysis of complaints. While working within the Compliance Management Program framework, the Compliance Senior Manager is responsible for managing a pipeline of topics for further research, performing analysis in partnership with key stakeholders, and producing formal reporting to effectively communicate results. This role supports and reports into the Enterprise Complaints Program in ensuring adherence to the Enterprise Complaints Standard.
The Compliance Senior Manager supports the Enterprise Complaints Program by:

• Leading initiatives and ad hoc reviews to amplify the customer voice through complaints research and analytics
• Managing relationships with first line teams and providing guidance on Enterprise complaints related topics.
• Providing input on business regulatory requirements and enterprise complaints requirements
• Providing guidance on business policies, standards, and procedures
• Developing and leading department training, as appropriate
• Providing compliance advice and effective challenge on complex projects

Responsibilities:

• Identify high priority topics in the complaints space for deep dive opportunities to uncover potential risks and poor customer experiences.
• Advise lines of businesses on adherence to the Enterprise Complaints Standard
• 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, regulations, and standards.
• Have a broad understanding of second line processes, including issue research, grounding, opening, and closure.
• Support lines of business through expert advice, influence adjustments to the processes, procedures, and adherence to the Standard
• Maintain expert understanding of Compliance Risk Management Framework
• Participate in reporting activities including Monthly Business Reviews, Quarterly Compliance Reviews, Enterprise Complaints Reporting and other reports used by Senior Leadership
• Have an eye for innovation and the ability to operate in complex environments and gray space.
• Drive results that are meaningful, actionable, and repeatable.
• Ability to communicate complex results to senior audiences effectively and with the appropriate level of detail.

Basic Qualifications:

• Bachelor's Degree or military experience
• At least 6 years of financial services experience
• At least 3 years of experience in compliance, risk management, or audit roles

Preferred Qualifications:

• Master's Degree or Juris Doctorate Degree
• 7+ years of experience in compliance, risk, or audit

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Plano, TX: $155,300 - $177,200 for Compliance Advisor Sr. Manager
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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.
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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).