Director Compliance Advisory - Personal Loans

Director Compliance Advisory - Personal Loans

Corporate Compliance is seeking a Director to join our US Card and Personal Loans Compliance Advisory team supporting Personal Loans. The Compliance Director will provide compliance advice regarding business strategy and new products to leaders in a growing business area; this Director will also own the management and oversight of a robust Compliance Management Program (CMP). The successful candidate will be self-starting and entrepreneurial, seeing around corners to identify tomorrow’s risks, and able to integrate themselves seamlessly into existing and emerging business segments. The Director will leverage strong analytical thinking skills to ensure all components of the CMP are in place and operating effectively with respect to the business areas for which the team is responsible. Additionally, the associate will leverage strong leadership and influence skills to engage other groups, including Compliance Testing, Legal, Compliance Central Governance, and the US Card Business Risk Office where needed.

Here’s how you’ll operate:

• Serve as a credible business advisor and partner representing the Compliance organization to the Personal Loans business

• Lead a team of Compliance Advisors as they support specific areas within the Personal Loans business

• Maintain subject matter expertise in applicable laws, regulations, and regulator guidance

• Maintain key relationships with business leadership as well as Legal, Risk Management, and other stakeholders

• Coordinate with cross-functional teams to accomplish shared objectives

• Support the management of issues with the business and risk office as they arise

• Anticipate, identify and escalate risk scenarios where needed and propose potential mitigations

Basic Qualifications:

• Bachelor’s Degree or Military experience

• At least 5 years of experience in compliance, legal, audit, or risk management

• At least 5 years of experience supporting, partnering and interacting with internal business clients

Preferred Qualifications:

• Certifications such as: Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP), or Juris Doctor (J.D.)

• At least 10 years of experience in Banking or Financial Services

• Previous experience in Risk Management or Compliance or a related field

• Proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrixed organization, while driving results

• Ability to read and interpret regulations, and discuss with associates in the business

• Strong written and verbal communication skills

• High energy and a desire to work in a results-oriented, 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, advocate a course of action, and pursue it consistently, while remaining flexible and responsive to dynamic situations

• Demonstrated ability to think strategically

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.

Chicago, IL: $187,300 - $213,700 for Director, Compliance

McLean, VA: $206,000 - $235,100 for Director, Compliance

Richmond, VA: $187,300 - $213,700 for Director, Compliance

Riverwoods, IL: $187,300 - $213,700 for Director, Compliance

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.

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

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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.

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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).