Compliance Advisor Manager

About the role

The Corporate Compliance department is seeking a Manager to support Capital One’s Finance group. The Finance team manages the overall financial operations of Capital One, including Treasury, capital analysis, balance sheet management, corporate development, tax filings, strategic planning, accounting, external reporting, and investor relations. The goal is to provide value to business partners and enterprise leadership while maintaining a robust control environment.

Responsibilities

• Support management and oversight of a Compliance Management Program ("CMP") supporting critical Finance areas that pose unique regulatory risk (e.g., Regulation W and Regulation K).
• Coordinate with stakeholders on control testing, process level assessments, new business initiatives, and review intercompany service agreements for regulatory applicability.
• Manage regulatory change management and issue management.
• Represent the Compliance organization to the Finance business teams and other independent risk functions.
• 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 models with other independent risk functions to ensure compliance with applicable laws, regulations, policies, and procedures.

Requirements

• 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 with US Banking laws, rules, and regulations.
• At least 5 years of experience translating regulatory requirements into operational processes and business solutions.

Qualifications

• Bachelor’s Degree or 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.

Skills

• Strong analytical thinking and regulatory knowledge.
• Strong leadership and influencing skills.
• Ability to anticipate, identify, and escalate risk scenarios early.
• Ability to create and monitor ongoing engagement models with other independent risk functions.

Benefits

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.

Pay

Salaries for this role vary by location. Please refer to the job posting for specific salary ranges.

Schedule

This role is expected to accept applications for a minimum of 5 business days. No agencies please.