Attorney in Plano, TX

In-House

Plano, TX

Attorney in Plano, TX

Non-practicing Attorney

5-6 yrs required

No

Manager, Compliance - Job Overview

The Manager, Compliance is responsible for ensuring that corporate initiatives and business processes comply with relevant laws and regulations. This role serves as the second line of defense in risk management and works within the Compliance Management Program framework. The Manager, Compliance is responsible for providing compliance advice, executing corporate processes, and delivering quality results.

This position is based in Plano, Texas and reports to the Compliance Leadership Team. The successful candidate will have a Bachelor's degree and at least 5 years of experience in compliance, legal, audit, or risk management. A Master's degree, Juris Doctor, or other graduate degree is preferred. The role requires travel to various Capital One locations as needed.

Manager, Compliance - Responsibilities

- Conduct deep dive analysis on emerging compliance risks.
- Review business policies, standards, procedures, and department training.
- Interact with Compliance advisors/testers to effectively challenge processes and controls.
- Collaborate with multiple lines of business subject matter experts to understand processes and data.
- Manage and coordinate projects while leveraging and influencing Compliance advisors and business partners.
- Present analysis and insights to the Compliance Leadership Team.
- Provide thought leadership in effectively challenging and supporting compliance deep dives.
- Review complaints and provide guidance on remediation, escalate and facilitate with subject matter experts when necessary.
- Identify trends in process data and advise on emerging risks.
- Maintain expertise in relevant laws and regulations.
- Review controls and control assessments for accuracy and adherence to test procedures.
- Review internal audits, regulatory exams, and self-identified issues for compliance impacts.
- Provide effective challenge and guidance on compliance risks.
- Support lines of business through expert advice and influence adjustments to processes, procedures, and controls.
- Participate in complex projects by providing guidance and effective challenge.
- Actively participate in compliance testing and third-party compliance.
- Maintain expert understanding of Compliance Risk Management Framework.
- Assist in capturing, maintaining, and analyzing compliance data.
- Interpret data to ensure consistency and adequate Compliance Risk Management.

Manager, Compliance - Basic Qualifications

- Bachelor's degree or military experience.
- At least 5 years of experience in compliance, legal, audit, or risk management.

Manager, Compliance - Preferred Qualifications

- Master's degree, Juris Doctor, or other graduate degree.
- Understanding of Fair Credit Reporting Act (FCRA), Electronic Fund Transfer Act (Regulation E), and National Automated Clearing House Association (NACHA) requirements.
- 5+ years of experience supporting, partnering, and interacting with internal business clients.
- 6+ years of experience in compliance, legal, or audit.
- Certified Regulatory Compliance Management (CRCM) or Certified Information Privacy Professional (CIPP) certifications.
- Proficient in Google Workspace (formerly G Suite).

Salary Information

The minimum and maximum full-time annual salaries for this role are listed below, by location:

- McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager
- Plano, TX: $132,800 - $151,600 for Compliance Advisor Manager
- Richmond, VA: $132,800 - $151,600 for Compliance Advisor Manager

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. 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.

Incentive Compensation

This role is also eligible to earn performance-based incentive compensation, which may include cash bonuses and/or long-term incentives (LTI). Incentives could be discretionary or non-discretionary depending on the plan.

Benefits

Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. Learn more at the Capital One Careers website.

Application Information

This role is expected to accept applications for a minimum of 5 business days. No agencies please.

Equal Opportunity Employer

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- or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Technical Support

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

Third-Party Products and Services

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.

Entity Information

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. (C