MASE Compliance - Compliance Advisor Manager at Capital_One — Richmond, VA

MASE Compliance - Compliance Advisor Manager

In Capital One’s Compliance and Ethics Organization, we support the business in managing regulatory compliance risk through advice and effective challenge. Model, Adverse Action, and Script Enhancement (MASE) Compliance is focused on assessing compliance risk in models and scripts and advising the business on how to manage the identified risk.

Responsibilities

• Assessing the regulatory alignment of the logic in specific computer code (script) reviews (in partnership with code experts) for the Code Design Intent Review (CoDIR) process. CoDIR is designed to evaluate the regulatory requirements the script is intended to effectuate and whether the script, as designed, meets that regulatory intent and to report the results of the assessment to the script owner.
• Collaborate with script owners, business risk offices and compliance partners across the enterprise to ensure regulatory risk stemming from scripts is appropriately managed
• Engage with the Tech and Data Risk Management team to ensure regulatory risks are appropriately addressed within the Script Governance Standard and platform
• Provide effective challenge and guidance on compliance risks related to the use of scripts and support lines of business through various interactions and forum engagements
• Advise lines of business on application of Compliance requirements to the activities executed through the use of computer code/scripts
• Assist, when necessary, in the assessment of regulatory risk associated with the use of models through the Model Compliance Inherent Risk Assessment (MoCIRA)
• Identify trends in data and advise on identified emerging risks
• Maintain subject matter expertise of applicable laws and regulations
• Engage and respond to inquiries from Internal Audit and Regulatory Examiners covering the scope of regulatory risk stemming from the use of scripts
• Conduct targeted validations and reviews on scripts that implement controls over applicable regulations
• Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

The ideal candidate will possess:

• Strong organizational skills, clear results orientation, and focus on achieving both short and long term goals;
• Ability to navigate “gray space” or ambiguous situations to drive and execute an agenda in a fluid environment while managing competing priorities;
• Collaborative, solution-oriented mindset with solid teamwork skills; ability to build and leverage the capabilities of a high-performing team;
• Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing skills and the ability to drive agreement through intellect, interpersonal, and negotiation skills;
• Ability to effectively challenge the first line of defense in a manner that is respectful and geared towards strengthening business initiatives;
• Successful track record of thriving in both a highly regulated industry and a fast paced, entrepreneurial, and dynamic environment;
• Ability to balance operating independently with appropriate escalation and interaction with senior leadership;
• Ability to thrive as a team player and interact with associates across functions, departments, and job levels, both inside and outside the Compliance Department;
• Understanding of key regulatory and audit requirements and three lines of defense risk management framework;
• Self starter with proven ability to develop new processes and procedures with little direction; and
• Strong knowledge of the use of computer code and script to drive business processes.

Basic Qualifications:

• Bachelor’s Degree
• At least 4 years of experience in compliance, legal, or audit
• At least 4 years of experience supporting, partnering, and interacting with internal business clients

Preferred Qualifications:

• Master’s Degree or Law Degree
• 6+ years of experience in compliance, legal, or audit
• Certified Regulatory Compliance Manager, Certified Anti-Money Laundering Specialist, Certified Information Privacy Professional, Series 7, Series 24, Series 63 or Series 65 certification

Chicago, IL: $138,100 - $157,700 for Compliance Advisor Manager

McLean, VA: $151,900 - $173,400 for Compliance Advisor Manager

Plano, TX: $138,100 - $157,700 for Compliance Advisor Manager

Richmond, VA: $138,100 - $157,700 for Compliance Advisor Manager

Riverwoods, IL: $138,100 - $157,700 for Compliance Advisor Manager