Capital One · Bengaluru
Finance & Legal
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
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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).