West Creek 3 (12073), United States of America, Richmond, Virginia
Compliance Advisory Specialist II
The Corporate Compliance Fair and Responsible Banking team is seeking a Senior Associate who will be responsible for executing risk-based fair lending testing and complaint reviews under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable Laws, Regulations, and Guidance.
Responsibilities will include (but may not be limited to):
- Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements.
- Conducting testing on a schedule to ensure all tasks and reporting are completed within established timeframes.
- Analyzing data from multiple sources and systematically documenting the work and results.
- Reviewing complaints to identify fair lending or sales practices risks
- Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.
- Assisting in communicating results to Compliance Officers, as needed.
- Travel: Approximately up to 10% travel.
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Successful candidates will need to complete a Language Assessment.
Basic Qualifications:
- High School Diploma, GED or equivalent certification
- At least 1 year of experience working in compliance or at least 1 year of experience working in financial services.
Preferred Qualifications:
- Bachelor's degree
- 2+ years of financial services consumer compliance monitoring experience
- 1+ years of Underwriting experience
- Bilingual in English and Spanish
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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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