Compliance Manager, Commercial and Counterparty Credit

Compliance Manager

Capital One's Governance, Valuations, & Innovation (GV&I) Team is a second line of defense function housed within the Credit Risk & Analytics (CR&A) Division. CR&A is responsible for Risk Governance, Risk Appetite, Credit Risk Policy, and Assurance Exam Management activities for the Commercial Bank. The team's contribution is critical in providing a foundation for sound risk management practices, complying with internal policies and regulations, and exhibiting the overall culture of Capital One.

GV&I is seeking a Manager-level Compliance Advisor with a regulatory / compliance background to perform a key risk management role advising Commercial Bank stakeholders on applicable Commercial Credit and Counterparty Credit policies and regulations. The individual will partner with innovative and passionate stakeholders across all lines of defense to enhance risk governance, controls, processes, and assurance practices, while implementing changes that are strategic and transformative for Capital One.

GV&I is responsible for a broad set of risk management activities for the Commercial Bank and within Commercial Credit and Counterparty Credit risk governance. This opportunity provides for significant professional growth and exposure to senior management. Strong data and analytical skills, attention to detail, and the ability to adapt in a dynamic environment are essential to succeeding in this role. Specific responsibilities include, but are not limited to :

• Serving as the Commercial Credit and Counterparty Credit Compliance Advisor representing the GV&I organization to the business areas, business risk offices, and other independent risk functions
• Providing guidance on Commercial Credit and Counterparty Credit policy, including policy adherence
• Performing research on regulatory interpretation and leading industry practices relating to commercial lending, including mapping to internal policies
• Advising on and maintaining subject matter expertise of regulatory requirements for which GV&I provides oversight (e.g., SR 13-3; SR 11-10)
• Managing applicable risk, requirements, and controls which GV&I is responsible for
• Providing guidance on applicability of regulatory and policy requirements, including control environments
• Presenting thoughtful effective challenge during applicable risk assessments (e.g., Process Level Assessments)
• Assessing the impact of new products and / or regulatory changes on business areas and policy
• Analyzing credit-related breakdowns for internal policy and / or external regulatory impact, including providing guidance on remediation / recovery plans
• Managing the credit policy lifecycle, including drafting policy updates and communicating changes to stakeholders
• Supporting ad-hoc initiatives for GV&I frameworks (e.g., Credit Exceptions, Credit Approvals)
• Promoting GV&I's learning and culture by facilitating continuous learning activities and team interactions

Desired Skills :

Basic Qualifications :

Preferred Qualifications :

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 Risk Manager

New York, NY : $159,400 - $181,900 for Risk 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.