Compliance Advisor Manager

divh2Compliance Advisor Manager/h2pCorporate Compliance is seeking a Manager to support Capital Ones Finance group. Finance is responsible for executing the overall financial management of Capital One, including corporate treasury operations, capital analysis and reporting, balance sheet management, corporate development, tax filing and strategy, line of business and top of house financial planning and management reporting, accounting and external reporting, and investor relations./ppFinances objective is to provide value to our business partners and enterprise leadership while ensuring an effective and flexible control environment. The Compliance Manager will support management and oversight of a Compliance Management Program (CMP) supporting critical Finance areas that pose unique regulatory risk (e.g., Regulation W and Regulation K), taking into account the OCCs Heightened Standards guidelines. The successful candidate will be self-starting, entrepreneurial, able to develop strong relationships, and integrate themselves seamlessly into business routines. The Manager will leverage strong analytical thinking and regulatory knowledge to ensure appropriate, risk-based application of the CMP to Finance. Additionally, the Manager will leverage strong leadership and influencing skills to engage the business and line of business risk function to maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk. Additional duties include administering unique processes related to managing a federated Compliance model across multiple independent risk functions (e.g., Liquidity, Market, and Capital Risk Oversight, etc.) that support Finance./ppHeres how youll operate:/pulliExecute key components of the CMP to support consistent adherence across Finance, including but not limited to Regulation W and Regulation K requirements, including coordination with stakeholders on control testing, process level assessments, new business initiatives, review intercompany service agreements for regulatory applicability, and support regulatory change management and issue management/liliServe as a credible compliance advisor representing the Compliance organization to the Finance business teams, and other independent risk functions./liliMaintain subject matter expertise and gain industry insights related to Finance including applicable laws, regulations, and regulatory guidance/liliDevelop and leverage strong relationships with business leadership, Legal, and other stakeholders to support the reliable and sustainable delivery of the CMP across the Finance organization/liliAnticipate, identify and escalate risk scenarios early and propose potential mitigations/liliCreate and monitor ongoing engagement model with other independent risk functions to ensure Capital Ones compliance with applicable laws, regulations, policies and procedures/li/ulpBasic Qualifications:/pulliBachelors Degree or military experience/liliAt least 5 years of experience in compliance, risk, legal, regulatory, or audit within the financial service industries/liliAt least 5 years of experience with US Banking laws rules and regulations./liliAt least 5 years of experience translating regulatory requirements into operational processes and business solutions/li/ulpPreferred Qualifications:/pulliMasters Degree or Juris Doctor/liliExperience working at or with large banks and regulatory agencies/liliFamiliarity and working knowledge of securities laws/liliExcellent communication and stakeholder management skills, with the ability to effectively challenge, influence outcomes and drive execution/li/ulpAt this time, Capital One will not sponsor a new applicant for employment authorization for this position./ppThe 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./ppMcLean, VA: $151,900 - $173,400 for Compliance Advisor Manager/ppNew York, NY: $165,700 - $189,200 for Compliance Advisor Manager/ppPlano, TX: $138,100 - $157,700 for Compliance Advisor Manager/ppRichmond, VA: $138,100 - $157,700 for Compliance Advisor Manager/ppWilmington, DE: $138,100 - $157,700 for Compliance Advisor Manager/ppCandidates 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 candidates offer letter./ppThis 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./ppCapital 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./ppThis 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./ppIf 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 View phone number on click.appcast.io or via email at View email address on click.appcast.io. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations./ppFor technical support or questions about Capital Ones recruiting process, please send an email to View email address on click.appcast.io/ppCapital 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./ppCapital 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)./p/div