Senior Compliance Advisor Resume Example Capital One

SENIOR COMPLIANCE ADVISOR

Professional Profile

Experienced risk and compliance professional who achieves consistently superior results in a competitive, innovative and rapidly evolving regulatory environment. A track record of leadership, driving operational compliance risk improvement, and creating an effective compliance management program.

Key Skills

Certified Regulatory Compliance Manager (CRCM)
Expert in compliance control creation
Excels in interpreting, communicating, and responding to regulatory guidance

Excellent verbal and written communication skills
Extensive experience in developing & implementing a compliance management program
Results focused and self-motivated

Accomplishments

Architect of 1st line of defense control program that was used as a model for other business areas
Created a quality team of over 50 associates who monitored for regulatory adherence, driving improvement across the Card line of business
Influenced Compliance leadership to refrain from replicating the control environment across legal entities, preventing the duplication of over 300 controls
Created a control assessment program that reviewed over 150 detective controls and remediated all gaps discovered

Professional Experience

Senior Compliance Advisor, 03/2013 to CurrentCapital One － Richmond, Virginia

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 for Retail Bank
Assess adequacy of controls and monitor plans
Deliver compliance advice to lines of business as a subject matter expert
Evaluate internal Audit, regulatory exam, and self-identified issues and events for compliance impacts
Identify trends in data and proactively advise on identified external and internal risks
Leverage analytical thinking skills to ensure the requirements of the Compliance Management Program are being met
Manage risk events in areas where there is a compliance impact and assess adequacy of remediation activities
Perform control assessments and review peer assessments for accuracy and adherence to test procedures
Perform targeted tests on lines of business controls
Promote a culture of compliance risk management and balanced risk taking
Provide compliance advice on complex projects
Provide effective challenge and guidance on compliance risks
Provide input on business regulatory requirements
Review and provide guidance on regulatory complaints generated from lines of business and regulators
Use strong organization skills and lead compliance-oriented process improvements as needed
Utilize strong communication skills to engage line of business partners, legal, and business risk officers
Validate fulfillment of corrective action to close any identified compliance gaps or breakdowns

Senior Compliance Risk Manager, 10/2005 to 03/2013Capital One － Richmond, Virginia

Collaborated with Compliance to create effective second line testing that mirrored established first line testing
Coordinated applicable exam requests and interactions related to compliance management
Designed and implemented a compliance control framework
Engaged with audit relative to the compliance management process for the line of business being audited
Led control assessment exercises and remediated any control gaps identified via the assessment
Managed compliance related risk events in order to remediate the immediate issue and to identify and address root cause
Managed the Adherence Quality Assurance Team, this involved people management and process management for the team's current work, addition of new work, and redesign of internal documentation and processes
Managed the testing of detective compliance controls performed in the Risk Office and the reporting of the results
Risk Office lead performer on project to assess business area ownership, effectiveness, and efficiency of all detective compliance controls across the Card business

IT Risk Office Associate, 01/2005 to 10/2005Capital One － Richmond, Virginia

Responsible for managing access management policies, procedures and provisioning in accordance with Sarbanes-Oxley requirements.

Disputes Process Manager, 01/2003 to 01/2005Capital One － Richmond, Virginia

Responsible for managing all processes within the Disputes Correspondence area relative to Visa, MasterCard, and Regulation Z requirements on billing error resolution.

Disputes Project Manager, 04/2001 to 01/2003Capital One － Richmond, Virginia

Responsible for managing projects originating within the Disputes Correspondence area that would impact Visa & MasterCard requirements as well as Regulation Z requirements on billing error resolution.

Customer Service Manager, 01/1996 to 04/2001Capital One － Richmond, Virgina

Led call center and back office teams handling and resolving customer inquiries on their credit card account.

Education

Bachelor of Arts:TheologyValley Forge Christian College － Phoenixville, Pennsylvania

Master of Arts:Theology & ApologeticsLiberty University － Lynchburg, Virginia

Resume Overview

Companies Worked For:

Capital One

School Attended

Valley Forge Christian College
Liberty University

Job Titles Held:

Senior Compliance Advisor
Senior Compliance Risk Manager
IT Risk Office Associate
Disputes Process Manager
Disputes Project Manager
Customer Service Manager

Degrees

Bachelor of Arts : Theology
Master of Arts : Theology & Apologetics

Senior Compliance Advisor Resume Example

Resume Score: 70%

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