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 aspects of Capital One, including Treasury operations, capital analysis, balance sheet management, corporate development, tax filings, strategy, financial planning, accounting, external reporting, and investor relations. The goal is to provide value to business partners and enterprise leadership while maintaining an effective and flexible 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), 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 level assessments, and new business initiatives.
• Administer unique processes related to managing a federated Compliance model across multiple independent risk functions (e.g., Liquidity, Market, and Capital Risk Oversight).
• Act as a credible compliance advisor representing the Compliance organization to Finance business teams and other independent risk functions.
• Translate regulatory requirements into operational processes and business solutions, and maintain subject matter expertise and industry insights related to Finance.
• Leverage strong analytical thinking and regulatory knowledge to ensure appropriate, risk-based application of the CMP to Finance.
• Engage the business and line of business risk function to maintain a CMP that identifies, assesses, and mitigates compliance risk.
• Create and monitor ongoing engagement models with other independent risk functions to ensure compliance with applicable laws, regulations, policies, and procedures.

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 with US Banking laws, 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

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, ranging from $138,100 - $173,400 annually. 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.

Schedule

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