Compliance Advisor - Manager

Capital One
McLean, Virginia
May 16, 2022
Jun 15, 2022
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Compliance Advisor - Manager

Compliance Advisor - Manager (EP2/ML-AI/Ventures)

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 Division is at the center of these activities, driving Capital One's strategic agenda.

Enterprise Services consists of 12 distinct business units, including Technology, Enterprise Products and Platforms, Machine Learning/Artificial Intelligence, Brand and Capital One Software. This role will primarily be supporting our Enterprise Product and Platform business area that provides critical services to support mobile/web customer servicing and innovative digital products.

The Compliance Advisor Manager will support the implementation and management of a robust Risk and Compliance Management program across the assigned client groups. 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 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, the Digital/FinTech environment and our mission of "Change Banking for Good"
    • 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 FinTech, Financial Services or Technology organization.

Preferred Qualifications:
  • 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.

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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