Corporate Functions Compliance- Manager

Capital One
McLean, Virginia
May 04, 2021
Jun 03, 2021
Full Time
Center 1 (19052), United States of America, McLean, Virginia

Corporate Functions Compliance- Manager

The Capital One Corporate Compliance team is seeking an all-star Compliance Advisor Manager with a passion for mitigating regulatory risk at a technologically-focused financial institution. The Compliance Advisor Manager will join our Corporate Compliance team and apply risk, process management, and analytical skills to drive actions in support of Regulation O and other Corporate Functions risk objectives for the Compliance department and impacted business lines.

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

The Compliance Advisor Manager responsibilities include:

  • Maintain expert understanding of Compliance Risk Management Framework and policies, as well as applicable laws, regulations, regulator guidance, and leading compliance standards
  • Enhance existing engagement model and serve as a credible business partner representing the Compliance organization to corporate functions, business lines, and other stakeholders
  • Advise the business on application of Compliance requirements, such as: regulatory applicability, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or regulation
  • Execute the requirements of the Regulation O Compliance Management Program
  • Manage Corporate Compliance Regulation O processes including aggregation of business extension of credit monitoring, maintenance and distribution of the Insiders List, execution of relevant regulatory reporting, and Board Reporting as appropriate
  • Manage, maintain and communicate relevant policies, standards and procedures
  • Assist and drive local governance program delivery, including process management, reporting, drafting and reviewing materials for senior management and the Board of directors, and other governance activities
  • Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts
  • Provide Compliance mandate program governance, administration, business attestation review, metrics/reporting, training and community engagement
  • Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas
  • Anticipate, identify, and escalaterisk scenarios early and propose potential mitigations
  • Recommend appropriate risk and compliance training, and evaluate additional training needs
  • Active involvement with compliance testing and third party compliance

A successful Compliance Advisor Manager is a highly motivated, forward thinking self-starter who can work autonomously, is quick to adapt, technologically adept, a problem solver, and an adaptive learner.

Ideal Candidate
  • A strategic, collaborative, energetic and solution-oriented style
  • Ability to balance operating independently with appropriate escalation to leadership
  • Ability to quickly adapt and thrive in a fast-paced dynamic environment and highly regulated industry
  • Ability to navigate ambiguous situations
  • Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing and negotiation skills to perform effective challenge and to reach agreement among various stakeholder groups
  • Team player with creativity, resourcefulness, a passion for problem-solving, and an ability to build relationships with associates across functions, business lines, and levels
  • Strong project management, process management, and organizational skills
  • Ability to prioritize and clearly articulate trade-offs while also maintaining flexibility as the situation changes
  • The highest ethical standards and integrity, with discretion in handling highly sensitive or confidential issues

Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 5 years of experience in compliance, or legal, or audit
  • At least 5 years of experience supporting, partnering, and interacting with internal business clients

Preferred Qualifications:
  • M.B.A. or JD
  • Relevant certifications such asCertified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), etc.
  • 7+ years of experience in banking/financial services, compliance, legal or audit
  • Proven ability to communicate, collaborate, and manage relationships with stakeholders at various levels in a highly matrixed organization
  • Strong written and verbal communication skills
  • Proficient in Google Suite
  • High energy and a desire to work in a results-driven, rapid-growth environment
  • The judgment to analyze, evaluate, develop and effectuate solutions to complex problems
  • Team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills
  • Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsive to dynamic situations
  • Proven track record for delivering results

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

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