Sr. Manager, Compliance Advisor

Overview

Alabang (96050), Philippines, Muntinlupa City, National Capital Region (Manila)

Sr. Manager, Compliance Advisor

Summary: 

• 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 requirements

  • Providing guidance on business policies, standards, and procedures

  • Developing and leading department training, as appropriate

  • Providing compliance advice on complex projects

  • Providing guidance on controls over Philippine regulatory requirements and line of business monitoring of those controls

  • Reviewing business controls and providing guidance on identified risks

General 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

Basic Qualifications:

• Educational Background: Bachelor’s degree or equivalent work experience

• Professional Experience: 5+ years experience in legal, compliance, audit, or relevant experience at a financial institution

• Skills Required:

  • Ability to influence outside of Compliance and provide effective challenge,  when appropriate

  • Strong communication skills both written and verbal and can tailor communications to senior audiences

  • Leverages knowledge of Philippine laws and regulations to make recommendations to the business to improve their processes and mitigate risk

• Amenable to working in a Hybrid setting (Alabang, Muntinlupa)

• Amenable to working a Mid Shift schedule

Preferred Qualifications:

• Bachelor of Law (LLB) or Master of Law (LLM) Degree

• 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

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).