Compliance Advisor Manager

Compliance Advisor Manager

Corporate Compliance is seeking a Manager to support Capital One’s Finance group.  Finance is responsible for executing the overall financial management of Capital One, including Corporate Treasury operations, capital analysis and reporting, balance sheet management, corporate development, tax filing and strategy, line of business and top of house financial planning and management reporting, accounting and external reporting, and investor relations. 

Finance’s objective is to provide value to our business partners and enterprise leadership while ensuring an effective and flexible control environment. The Compliance Manager will support management and oversight of a Compliance Management Program (“CMP”) supporting critical Finance areas that pose unique regulatory risk and specifically for Regulation W and Regulation K compliance, taking into account the OCC’s Heightened Standards guidelines. The successful candidate will be self-starting, entrepreneurial,able to develop strong relationships, and integrate themselves seamlessly into business routines.  The Manager will leverage strong analytical thinking and regulatory knowledge to ensure appropriate, risk-based application of the CMP to Finance.  Additionally, the Manager will leverage strong leadership and influencing skills to engage the business and line of business risk function to maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk. Additional duties include administering unique processes related to managing a federated Compliance model across multiple independent risk functions (e.g., Liquidity, Market, and Capital Risk Oversight, etc.) that support Finance.

Here’s how you’ll operate:

• Execute key components of the CMP to support consistent adherence across Finance, including but not limited to Regulation W and Regulation K requirements, including coordination with stakeholders on control testing, process level assessments, new business initiatives, review intercompany service agreements for regulatory applicability, and support regulatory change management and issue management

• Serve as a dedicated subject matter expert advisor for Regulation W compliance providing expertise on Section 23A and 23B requirements, issues management, intercompany transactions and service agreements, including advising on control and program enhancements. Partner with business teams to identify and mitigate affiliate risk. 

• Serve as a credible compliance advisor representing the Compliance organization to the Finance business teams, and other independent risk functions.

• Maintain subject matter expertise and gain industry insights related to Finance including including applicable laws, regulations, and regulatory guidance 

• Develop and leverage strong relationships with business leadership, Legal, and other stakeholders to support the reliable and sustainable delivery of the CMP across the Finance organization

• Anticipate, identify and escalate risk scenarios early and propose potential mitigations

• Create and monitor ongoing engagement model with other independent risk functions to ensure Capital One’s compliance with applicable laws, regulations, policies and procedures

Basic Qualifications:

​

• Bachelor’s Degree or military experience

• At least 5 years of experience in compliance, risk, legal, regulatory, or audit within the financial service industries

• At least 5 years of experience providing compliance advisory or legal counsel for Regulation W

• At least 5 years of experience with US Banking law rules and regulations.

• At least 5 years of experience translating regulatory requirements into operational processes and business solutions

Preferred Qualifications:

• Master’s Degree or Juris Doctor

• Experience working at or with large banks and regulatory agencies 

• Familiarity and working knowledge of securities laws

• Excellent communication and stakeholder management skills, with the ability to effectively challenge, influence outcomes and drive execution

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: $151,900 - $173,400 for Compliance Advisor Manager

 

New York, NY: $165,700 - $189,200 for Compliance Advisor Manager

 

Richmond, VA: $138,100 - $157,700 for Compliance Advisor Manager

 

 

 

 

 

 

 

 

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.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).