Sr. Manager, Compliance Advisor
Capital One
Sr. Manager, Compliance Advisor
Job Description
Alabang (96050), Philippines, Muntinlupa City, National Capital Region (Manila)Sr. Manager, Compliance AdvisorSummary: The Compliance Advisor performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes. This role supports the line of business by:Providing input on Philippine business regulatory requirementsProviding guidance on business policies, standards, and proceduresDeveloping and leading department training, as appropriateProviding compliance advice on complex projectsProviding guidance on controls over Philippine regulatory requirements and line of business monitoring of those controlsReviewing business controls and providing guidance on identified risksGeneral Responsibilities: Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter expertsIdentify trends in data and proactively advise on identified external and internal risksMaintain subject matter expertise of applicable Philippine laws and regulationsPerform and review control assessments executed by peers for accuracy and adherence to test proceduresEvaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impactsProvide effective challenge and guidance on compliance risks and support risky business areas through various interactions and forum engagementsAdvise 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 regulationAssist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train on areas of potential riskSupport lines of business through expert advice, including change management of processes, procedures, and controlsConduct targeted validations and reviews on controls for applicable regulationsActive involvement with compliance testing and third party complianceAssist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk ManagementParticipate in reporting activities used by Senior LeadershipTravel to the U.S., when neededBasic Qualifications: Educational Background: Bachelor’s degree or equivalent work experienceProfessional Experience: 5+ years experience in legal, compliance, audit, or relevant experience at a financial institutionSkills Required:Ability to influence outside of Compliance and provide effective challenge, when appropriateStrong communication skills both written and verbal and can tailor communications to senior audiencesLeverages knowledge of Philippine laws and regulations to make recommendations to the business to improve their processes and mitigate riskAmenable to working in a Hybrid setting (Alabang, Muntinlupa)Amenable to working a Mid Shift schedulePreferred Qualifications: Bachelor of Law (LLB) or Master of Law (LLM) DegreeExperience in regulatory compliance, reporting, and monitoring including a deep knowledge of Philippines laws and regulations, including but not limited to, the Data Privacy Act of the PhilippinesNo agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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.comCapital 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).
Locations
- Muntinlupa City, Alabang
Skills Required
- legalintermediate
- Philippine lawsintermediate
- regulatory complianceintermediate
- Philippines lawsintermediate
Required Qualifications
- Educational Background: Bachelor’s degree or equivalent work experience (experience)
- Professional Experience: 5+ years experience in legal, compliance, audit, or relevant experience at a financial institution (experience, 5 years)
- Skills Required:Ability to influence outside of Compliance and provide effective challenge, when appropriateStrong communication skills both written and verbal and can tailor communications to senior audiencesLeverages knowledge of Philippine laws and regulations to make recommendations to the business to improve their processes and mitigate risk (experience)
- Amenable to working in a Hybrid setting (Alabang, Muntinlupa) (experience)
- Amenable to working a Mid Shift schedule (experience)
- Educational Background: Bachelor’s degree or equivalent work experience (experience)
- Professional Experience: 5+ years experience in legal, compliance, audit, or relevant experience at a financial institution (experience, 5 years)
- Ability to influence outside of Compliance and provide effective challenge, when appropriate (experience)
- Strong communication skills both written and verbal and can tailor communications to senior audiences (experience)
- Leverages knowledge of Philippine laws and regulations to make recommendations to the business to improve their processes and mitigate risk (experience)
- Amenable to working in a Hybrid setting (Alabang, Muntinlupa) (experience)
- Amenable to working a Mid Shift schedule (experience)
Preferred Qualifications
- Bachelor of Law (LLB) or Master of Law (LLM) Degree (degree in of law)
- Experience in regulatory compliance, reporting, and monitoring including a deep knowledge of Philippines laws and regulations, including but not limited to, the Data Privacy Act of the Philippines (experience)
- Bachelor of Law (LLB) or Master of Law (LLM) Degree (degree in of law)
- Experience in regulatory compliance, reporting, and monitoring including a deep knowledge of Philippines laws and regulations, including but not limited to, the Data Privacy Act of the Philippines (experience)
- For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com (experience)
- 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. (experience)
- 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). (experience)
Responsibilities
- Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts
- Identify trends in data and proactively advise on identified external and internal risks
- Maintain subject matter expertise of applicable Philippine laws and regulations
- Perform and review control assessments executed by peers for accuracy and adherence to test procedures
- Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
- Provide effective challenge and guidance on compliance risks and support risky business areas 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
- Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train on areas of potential risk
- Support lines of business through expert advice, including change management of processes, procedures, and controls
- Conduct targeted validations and reviews on controls for applicable regulations
- Active involvement with compliance testing and third party compliance
- Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
- Participate in reporting activities used by Senior Leadership
- Travel to the U.S., when needed
- Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts
- Identify trends in data and proactively advise on identified external and internal risks
- Maintain subject matter expertise of applicable Philippine laws and regulations
- Perform and review control assessments executed by peers for accuracy and adherence to test procedures
- Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
- Provide effective challenge and guidance on compliance risks and support risky business areas 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
- Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train on areas of potential risk
- Support lines of business through expert advice, including change management of processes, procedures, and controls
- Conduct targeted validations and reviews on controls for applicable regulations
- Active involvement with compliance testing and third party compliance
- Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
- Participate in reporting activities used by Senior Leadership
- Travel to the U.S., when needed
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