Compliance Advisor Manager

Capital One
McLean, Virginia, United States
Jan 03, 2023
Feb 02, 2023
Full Time
Center 1 (19052), United States of America, McLean, Virginia

Compliance Advisor Manager

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation's top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.


The Bankruptcy Compliance Advisor Manager performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable Bankruptcy laws and regulations. While working within the Compliance Management Program framework, the Bankruptcy Compliance Advisor Manager is responsible for delivering quality results, providing compliance advice to lines of business as a bankruptcy subject matter expert, and executing or participating in corporate processes.

The Bankruptcy Compliance Advisor Manager supports the line of business by:
  • Providing input on business regulatory requirements
  • Providing guidance on business policies, standards, and procedures
  • Leading and reviewing department training, as appropriate
  • Providing compliance advice on complex projects
  • Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
  • Performing targeted tests on lines of business controls and provide guidance on identified risks

Responsibilities :
  • Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with other subject matter experts, when necessary
  • Identify trends in data and advise on identified emerging risks
  • Maintain subject matter expertise of applicable bankruptcy laws and regulations
  • Perform and review control assessments executed by peers for accuracy and adherence to test procedures
  • Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts
  • Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
  • Advise lines of business on application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation
  • Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
  • Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls
  • Conduct targeted validations and reviews on controls over applicable regulations
  • Actively participate on complex projects through providing guidance, advise, and effective challenge
  • Perform UDAAP validations and reviews
  • Active involvement with compliance testing and third party compliance
  • Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
  • Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management
  • Participate in reporting activities, such as: Regulation Change Management, LAUNCH, and other reports used by Senior Leadership
  • Flexibility to travel to various Capital One locations as necessary

Basic Qualifications:
  • Juris Doctorate
  • 5 years of experience in consumer bankruptcy compliance, legal, or audit
  • 5 years of experience supporting, partnering, and interacting with internal business clients

Preferred Qualifications:
  • State Bar License
  • 7+ years of experience in consumer bankruptcy compliance, legal, or audit

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.

Location is New York City

- $142,979 and $168,683 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.

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

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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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