Corporate Compliance is seeking a Compliance Advisor Manager to perform a key risk management role in the second line of defense advising Capital One's Commercial Treasury Management business and Commercial Product organization on applicable laws and regulations. The Treasury Management business helps clients manage their business by offering solutions to expedite receivables, manage payments, and provide information needed to maximize working capital. The Commercial Product organization manages the digital products that the Commercial Bank (including Treasury Management) and its customers use everyday. The Compliance Advisor Manager will support the businesses' compliance with applicable laws and regulations as they relate to the sales, account opening and servicing, product, and operations processes.
While working within the Compliance Management Program framework, the Compliance Advisor Manager is responsible for identifying, assessing, and providing expert advice on regulatory risk, and working with the lines of business and partners to mitigate compliance risk. The successful candidate will be an analytical thinker, self-starting, with strong communication, influencing, relationship building, and problem solving skills. The Compliance Advisor Manager will use these skills to drive actions that sustain business objectives and processes in a well-managed and compliant way.
Responsibilities include but are not limited to:
Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions
Developing and maintaining strong relationships with business leadership, Legal, Risk Office, and other stakeholders and coordinating with teams to accomplish shared objectives
Advising on business regulatory requirements including banking regulations (e.g., Reg CC; Reg J) and state laws, maintaining subject matter expertise of applicable laws and regulations
Anticipating, identifying, and escalating compliance risk scenarios early and proposing potential mitigating solutions
Providing effective challenge and guidance on compliance risks and supporting the businesses through various interactions and forums including new initiatives
Providing guidance and influencing adjustments to business policies, standards, and procedures to mitigate compliance risk
Leading and reviewing compliance training, as appropriate
Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans
Assessing and advising on changes in law and regulations
Facilitating the engagement between businesses and horizontal Compliance partners in AML, Privacy, and Fair & Responsible Banking
Reviewing customer complaints and providing guidance on remediation
Advising and dispositioning findings identified by compliance testing
Supporting manager on regulatory exams and/or internal audits, as necessary
Maintaining expert understanding of compliance management program
Basic Qualifications:
Bachelor's Degree or military experience
At least 3 years of experience in compliance, legal, or audit supporting commercial businesses
Preferred Qualifications:
Master's Degree or Juris Doctor
4+ years of experience in compliance, legal, or audit supporting Commercial Banking or Product organizations
Familiarity with and the ability to develop a thorough working knowledge of banking laws and regulations such as Reg CC, Reg J, or state banking laws
Ability to research, read and interpret regulations, and advise the business
Ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrix organization
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital 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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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
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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).
