Compliance Advisor Manager (Customer Core/Technology)

Compliance Advisor Manager (Customer Core/Technology)

Capital One's technology transformation has presented an exciting opportunity to usher in leading edge, innovative approaches to compliance risk management in close partnership with our business clients. We are increasingly using technology to further our most dynamic, innovative products, which calls for new, creative ways for us to think about compliance and risk in a way that helps the business succeed, safely and quickly. The Enterprise Services (ES) Division is at the center of these activities, driving Capital One's strategic agenda.

ES consists of 11 distinct business units, including the Customer Core team, which is responsible for managing the enterprise system of record for customers and protecting customer account information. ES also includes Technology, which is responsible for development, management, and operation of technology supporting the enterprise.

The Compliance Advisor Manager will support the implementation and management of a robust Risk and Compliance Management program across the assigned client groups, including Customer Core and Technology. To be successful in supporting these key strategic business areas and objectives you will need to provide Compliance guidance in a clear, solution oriented and customer-focused manner. You need to be a self-starter and entrepreneurial, seeing beyond the present to identify tomorrow's risks, and be able to integrate yourself seamlessly into existing and emerging business lines.

Here's how you'll operate:

• Serve as a trusted advisor with product, business and risk teams in the assigned business areas of Enterprise Services to identify, document and effectively mitigate compliance risk
• Develop innovative approaches to drive regulatory compliance in a way that enables business growth, profitability, and competitive success for Capital One in the face of shifting regulatory demands
• Coordinate across, business, risk and compliance teams to meet requirements outlined in the Compliance Management Program
• Assess process breakdowns for regulatory impact
• Perform compliance risk assessments and document results for contribution in senior management level reporting
• Review business risk compliance monitoring results and periodically validate that monitoring processes/methods are reliable
• Lead/participate in cross-functional and enterprise-wide compliance projects, programs and initiatives as requested
• Represent Compliance through active participation on project teams by providing compliance expertise, advocacy, and role model leadership
• Staying abreast of relevant compliance and employment laws, practices, and issues affecting the business environment, domestically and internationally.

Attributes of the successful candidate also include:

• Knowledge of legal, regulatory, policy and compliance requirements
• Strong understanding of our businesses, including regarding Customer Data protections and associated Technology
• Ability to build trust and relationships through teamwork and collaboration
• A passion to develop and manage relationships to influence and work effectively with individuals at all levels

Basic Qualifications:

• Bachelor's degree or military experience
• At least 3 years of experience in a risk, compliance or legal role within a Financial Technology, Financial Services or Technology organization.

Preferred Qualifications:

• 6+ years experience in compliance, legal, or risk management
• Proven track record of partnership with cross-functional colleagues to drive progress and results
• Desire and aptitude to think strategically and innovatively with a proven track record for delivering results
• Ability to thrive in a fast paced, entrepreneurial and dynamic environment
• Proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organization
• High energy and a desire to work in a results-oriented, rapid growth environment
• A team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills
• Ability to prioritize among many conflicting needs, to advocate for a course of action, and to pursue it consistently, while remaining flexible and responsive to dynamic situations
• Excellent verbal and written communication and presentation skills

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: $146,100 - $166,700 for Compliance Advisor Manager

Richmond, VA: $132,800 - $151,600 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.

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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).