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 leaders while maintaining an effective and adaptable control environment.

Responsibilities

• Support management and oversight of a Compliance Management Program ("CMP") supporting critical Finance areas with unique regulatory risk (e.g., Regulation W and Regulation K), considering OCC’s Heightened Standards guidelines.
• Develop and implement processes to ensure compliance with relevant regulations, such as Regulation W and Regulation K, and coordinate with stakeholders on control testing, process assessments, and new business initiatives.
• Review intercompany service agreements for regulatory applicability and support regulatory change management and issue management.
• Represent the Compliance organization to Finance business teams and other independent risk functions, providing advice and guidance on regulatory matters.
• Maintain subject matter expertise and stay updated on finance-related laws, regulations, and regulatory guidance.
• 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 potential risks early, proposing mitigation strategies.
• 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 equivalent military experience.
• At least 5 years of experience in compliance, risk, legal, regulatory, or audit within the financial services industry.
• At least 5 years of experience with US banking laws, rules, and regulations.
• Experience translating regulatory requirements into operational processes and business solutions.

Qualifications

• Bachelor’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.
• Leadership and influencing skills.
• Ability to anticipate and identify risk scenarios early.
• Strong relationship-building skills.

Benefits

Capital One offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits designed to support your total well-being. Learn more at the Capital One Careers website.

Pay

Salaries for this role vary by location, ranging from $138,100 - $173,400 annually. For more details, see the Pay section above.

Schedule

This role is full-time.

Benefits

Capital One provides a range of benefits, including health insurance, financial assistance, and other programs to support your well-being. Details can be found on the Capital One Careers website.