Manager, Compliance Advisory | Enterprise Services

Manager, Compliance Advisory | Enterprise Services

Capital One, a Fortune 500 company and one of the nation’s top 10 banks, offers a broad spectrum of financial products and services to consumers, small businesses and commercial clients. Our goal is to create one of the nation’s great banks, and we have the necessary ingredients: a strong balance sheet, resilient businesses, a massive customer franchise, strong analytical capabilities, and great people. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company – and a great place to work.

Our technology transformation has presented an exciting opportunity to usher in leading edge, innovative approaches to risk management in close partnership with our business clients. We are increasingly using technology to further our 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.

As a member of our centralized Compliance organization within our 2nd Line of Defense, this exciting role will provide compliance advisory support, with a particular focus on consumer and data compliance, to our 1st Line Enterprise Services line of business, driving the continuous improvement of our compliance management program across our evolving business and geographic footprint. Enterprise Services consists of multiple distinct business units, such as our Technology organization and Enterprise Product and Experience. This Advisory role’s coverage may include, but is not limited to, the Enterprise Data organization, which consists of the Customer Identity and Core (CIC), Pipelines and External Data (PXD), Analysis, Data Consumption, and Integrations (ADCI), and Governance, Privacy and Experiences (GPS) teams.

To be successful in supporting these key strategic business areas and objectives, you will need to provide practical compliance guidance in a clear, solution-oriented and customer-focused manner. The ideal candidate will be a self-starter and bring an entrepreneurial mindset to the role, seeing beyond the current state to identify tomorrow’s risks, and be able to integrate yourself seamlessly into existing and emerging business lines.

Here’s how you’ll operate:

• Perpetually stay abreast of relevant compliance laws, practices, and issues affecting the business environment, with strong focus on consumer (i.e., Reg Z, Reg V, UDAAP, TCPA, etc.) and data (i.e., privacy, responsible data, AI, authentication and identity, open banking) disciplines
• Serve as a trusted advisor to our lines of business to identify, document and effectively mitigate compliance risks
• Develop innovative approaches in coordination with stakeholders across a variety of roles to maintain the highest risk and compliance management standards while enabling business growth, profitability, and competitive success for Capital One in the face of shifting regulatory demands
• Coordinate across Business, Risk, Legal and Compliance teams to meet requirements outlined in the Compliance Management Program
• Assess process breakdowns for regulatory impact
• Perform compliance risk assessments and document results for contribution in senior management level reporting
• Review business risk compliance monitoring results and periodically validate that monitoring processes/methods are reliable

• Represent Compliance through active participation on project teams by providing compliance expertise, advocacy, and role model leadership
• Attributes of the successful candidate also include:
  • Detailed knowledge of legal, regulatory, policy and compliance requirements and their applicability domestically and internationally
  • 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
  • Effective communicator across all modalities (i.e., writing, verbal, meeting setting)
  • Comfortable representing dissenting opinions with senior leaders and using professional judgment to challenge as needed

This role is designated as a hybrid position. You are expected to adhere to Capital One's hybrid policy regarding required on-site presence at your designated office location.

Basic Qualifications:

• Bachelor’s degree or military experience
• At least 1 year of experience in data management
• At least 3 years of experience working in compliance, risk management, regulatory policy, or legal

Preferred Qualifications:

• Advanced degree (Masters, Juris Doctor)
• Certifications, such as a Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP), Project Management Professional (PMP) or Certified Data Management Professional (CDMP)
• 3+ years of experience in data management
• 6+ years of experience in compliance, legal, regulatory policy, or risk management within a Financial Technology, Financial Services, Management Consulting, or Technology organization
• Experience with supporting and advising enterprise wide technology platforms
• Proven track record of partnership with cross-functional colleagues to drive complex project management
• 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 matrixed organization
• A team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills
• 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 and written communication and presentation skills

At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).

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.

McLean, VA: $151,900 - $173,400 for Compliance Advisor ManagerRichmond, VA: $138,100 - $157,700 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.

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).