Manager, Compliance Advisory | Enterprise Services

Capital One; McLean (VA); Hybrid; USD 152,000 - 173,000; Full time

Job summary

Capital One seeks a Manager, Compliance Advisory to provide practical compliance guidance for consumer and data disciplines across Enterprise Services. The role requires collaboration with multiple business units, risk, and legal teams in a hybrid environment, with a mind for tomorrow’s risks and business growth.

The position reports to the centralized Compliance organization and supports governance for regulatory requirements across domestic and international lines of business, including data,

Qualifications

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

Responsibilities

• Stay abreast of compliance laws affecting the business, focusing on consumer and data disciplines.
• Serve as trusted advisor to lines of business to identify and mitigate compliance risks.
• Develop innovative approaches with stakeholders to maintain high risk and compliance standards while enabling growth.
• Coordinate across Business, Risk, Legal and Compliance teams to meet the Compliance Management Program.
• Assess process breakdowns for regulatory impact.
• Perform compliance risk assessments and document results for senior management reporting.
• Review monitoring results and validate monitoring methods.
• Represent Compliance on project teams with expertise and leadership.

Skills

Regulatory knowledge

Communication skills

Stakeholder management

Analytical mindset

Education

Bachelor's degree

Military experience

Job description

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

Benefits:

• Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
• Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

Salary Information:

• McLean, VA: $151,900 - $173,400 for Compliance Advisor Manager
• Richmond, 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.

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).

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.

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 [e-mail]. 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 [e-mail] 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). At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit.