Compliance Advisor Manager

Compliance Advisor Manager

Capital One's Retail Bank has grown by leaps and bounds in the last couple of years. The Bank has risen up the league tables in deposits and checking relationships, capitalizing on industry-leading products and a unique challenger brand with superior digital capabilities and distinctive cafes and branches. The success of small businesses is essential to economic growth and prosperity. Within Capital One's Small Business Bank, we help our clients stand out with personalized advice and resources that can help them prepare for what's next. We've helped hundreds of thousands of business owners secure their finances, streamline their cash flow and save time on banking by providing a variety of competitive savings, checking, escrow, lending and treasury management products. Our clients aren't just our clientsthey're our business partners. As a Compliance Advisor Manager supporting Small Business Bank, you will join a team of compliance advisors who support Small Business Bank products and services, functions, operations, and customer contact centers. Compliance Advisor Managers help the bank comply with applicable laws and regulations. A successful Compliance Advisor Manager is a highly motivated, forward thinking, self-starter who can work autonomously, sees beyond the present to identify tomorrow's risks, is technologically adept, and a problem solver. The Compliance Advisor Manager is responsible for delivering quality results, providing sound compliance advice to the business as a subject matter expert, and executing against the responsibilities outlined below.

Specific Responsibilities :

• Maintain expert knowledge of applicable consumer and small business banking laws and regulations, keeping up with and advising the business on current and emerging developments
• Provide effective challenge and advice through regular interaction with business partners and risk management colleagues, both 1 : 1 and in group settings, to influence process development, procedures, controls, and monitoring
• Exercise sound judgment to effectively assess, dimension, and balance risk when providing compliance advice to the business
• Evaluate new business initiatives and participate in complex projects to identify potential compliance risk and risk mitigation activities, and effectively challenge business to remain within approved compliance risk appetite
• Determine and / or validate applicability of laws and regulations to business processes; provide guidance on and assess adequacy of controls over regulatory requirements and business line monitoring of those controls
• Assess the impact and potential compliance risk exposure of operational breakdowns or findings, including customer complaints, and advise business during remediation
• Identify trends in internal and external compliance data and proactively advise on current and emerging risks
• Perform and / or participate in compliance risk assessments of business processes and products

The ideal candidate will possess :

Basic Qualifications :

Preferred Qualifications :

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. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. 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.

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.