Manager - Compliance Advisory

Capital One
McLean, Virginia, United States
Jan 12, 2023
Feb 11, 2023
Full Time
Center 1 (19052), United States of America, McLean, Virginia

Manager - Compliance Advisory

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.

Small businesses are the backbone of America and a vital part of the economy as a whole. Their success 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 clients-they'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; 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, risk management, legal, regulatory examiner, audit, or regulatory examiner experience
  • 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.

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 - $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.

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 . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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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