Manager, Compliance Advisory (Capital One Software)

Capital One
Richmond, Virginia, United States
Closing date
Dec 16, 2023

View more

Job Details

West Creek 3 (12073), United States of America, Richmond, Virginia

Manager, Compliance Advisory (Capital One Software)

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. Capital One is increasingly using technology to further its 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 several distinct business units, including Technology, Enterprise Products and Experiences, Brand and Capital One Software. This role will primarily be supporting our Capital One Software business that develops new and exciting software products designed to help solve external business customers' challenges. In this role, you will support key strategic business objectives where you will need to provide regulatory Compliance guidance in a clear, solution oriented and customer-focused manner.

The Compliance Advisor Manager will support the implementation and management of a robust Risk and Compliance Management program for Capital One Software. The successful candidate will be self-starting and entrepreneurial, seeing beyond the present to identify tomorrow's risks, have a strong grasp of technology, can embrace gray space, willing to research and be able to integrate themselves seamlessly into this exciting business space.

Here's how you'll operate:

  • Serve as a trusted advisor with product, business and risk teams aligned to Capital One Software to identify, document and effectively mitigate compliance risk in both existing products and throughout new product development lifecycle
  • Help educate the Capital One Software business on how regulatory compliance impacts the selling of software products domestically and abroad; be a change management champion, and identify ways to make compliance straightforward and simple for the business
  • 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 in a non-traditional financial services product space
  • Coordinate across, business, risk and and compliance teams to meet requirements outlined in the Compliance Management Program
  • Assess process breakdowns for regulatory impact, and identify process improvements
  • Perform compliance risk assessments and document results for inclusion in senior management level reporting
  • Review business risk compliance monitoring results and periodically perform data validation; also evaluate if existing measures/methods are adequately capturing the unique risks of Capital One Software and identify any gaps
  • Lead/participate in cross-functional and enterprise-wide compliance projects, programs and initiatives as requested
  • Represent Compliance through active participation on business project teams by providing compliance expertise, advocacy, and leadership
  • Staying abreast of relevant compliance 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 grasp of latest cloud computing/technology concepts
    • Ability to manage multiple priorities; work independently and successfully navigate gray space
    • Strong understanding of our businesses, the Software/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
    • Ability to thrive in a fast paced, entrepreneurial and dynamic environment
    • A team player with creativity, resourcefulness, a passion for problem-solving, high degree of comfort with ambiguity, and strong interpersonal skills

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
  • 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
  • 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, written communication and presentation skills

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

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.

This role is expected to accept applications for a minimum of 5 business days.

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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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).


We Don’t Only Think Big Things—At Capital One, We Do Big Things.

You’re dedicated to your career. You deserve professional satisfaction and personal fulfillment. You belong at Capital One.

Here, every day brings another chance to do impactful work that matters: helping millions of customers confidently manage their money, building stronger communities and delivering truly disruptive tech. You’ll give your all alongside some of the brightest, most resilient people in the industry—and in return, you’ll enjoy the growth opportunities, support, flexibility and benefits you need for an exhilarating life both on and off the job.

Be inspired. Be yourself. That’s #LifeAtCapitalOne.

Creating a Culture of Belonging

At Capital One, we value diversity, inclusion and belonging at our core. We’re building a place of belonging—where everyone can feel seen, heard, valued and free to be their authentic selves. We want to be a place of opportunity—where associates from all backgrounds innovate for our customers and communities, and build meaningful, fulfilling careers.

We endeavor to be a welcoming and inspiring place for all. We seek and embrace diversity. And we’re committed to having a diverse and inclusive workforce, focused on increasing the representation of underrepresented groups, strengthening our culture of inclusion and belonging and harnessing our scale to invest in our communities.

We’re focused on three core principles to advance diversity, inclusion and belonging across Capital One:

Create a culture of belonging where everyone can thrive and innovate

Attract and develop talent from all backgrounds and experiences

Ensure our systems and programs promote fairness and equity

Get a career with more at Capital One.  Discover it for yourself today.

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, sexual orientation, gender identity, protected veteran status, disability or other protected status.


Company info

United States

Get job alerts

Create a job alert and receive personalized job recommendations straight to your inbox.

Create alert