Compliance Advisory Specialist II

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.

Basic Qualifications:

• High School Diploma, GED or equivalent certification
• At least 1 year of experience in compliance testing, compliance monitoring, quality assurance, control review or audit.
• At least 1 year of experience using Google Suite

Preferred Qualifications:

• Bachelor's degree
• 2+ years of financial services consumer compliance monitoring experience or 2+ years of consumer compliance auditing experience
• 1+ years of Underwriting experience

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.
McLean, VA: $94,600 - $107,900 for Compliance Advisory Specialist II
Plano, TX: $86,000 - $98,200 for Compliance Advisory Specialist II
Richmond, VA: $86,000 - $98,200 for Compliance Advisory Specialist II
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 (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.
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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).