Compliance Advisor Manager

Capital One
McLean, Virginia
May 01, 2022
May 31, 2022
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Compliance Advisor Manager

As a Compliance Advisor Manager, you will join a team of compliance advisors who support Retail Bank's products, functions, and operations, which include consumer products and operations, private banking, small business banking and lending, marketing, branch and café networks, 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 banking laws and regulations, keeping up with and advising the business on current and emerging developments;
  • Develop strong working knowledge of business products, services, processes, and strategy;
  • 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 the 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 and document the impact and potential compliance risk exposure of operational breakdowns or findings, including customer complaints, and advise business during remediation;
  • Contribute to regulatory risk reporting for internal and external audiences;
  • Identify trends in internal and external compliance data and proactively advise on current and emerging risks; and
  • Perform and/or participate in compliance risk assessments of business processes and products.

The ideal candidate will possess:
  • A strategic, collaborative, energetic, and solution-oriented style, even in ambiguous situations;
  • Ability to quickly adapt and thrive in a fast-paced, dynamic environment and highly regulated industry;
  • Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing and negotiation skills to perform effective challenge and catalyze change among various stakeholder groups;
  • Creativity, resourcefulness, and a passion for problem-solving as a team player who can build relationships with associates across functions, business lines, and levels
  • Ability to balance operating independently with appropriate escalation and interaction with senior leadership;
  • The highest ethical standards and unwavering integrity, with discretion in handling highly sensitive or confidential issues; and
  • Ability to prioritize and clearly articulate trade-offs while also maintaining flexibility as the situation changes.

Basic Qualifications:
  • Bachelor's Degree or Military experience
  • At least 3 years of compliance risk management, or risk management, or legal, or audit, or regulatory examiner experience

Preferred Qualifications:
  • Master's Degree or Juris Doctor Degree
  • At least 6 years of compliance risk management, or risk management, or legal, or audit, or regulatory examiner experience
  • Experience directly working with, or supporting, payments processes or platforms
  • Experience directly working with, or supporting, banking platforms and technology
  • Certified Risk Professional (CRP), Certified Regulatory Compliance Manager (CRCM), or Certified Compliance and Ethics Professional (CCEP)

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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 . 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

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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).

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