Capital One
Financial Services
ComplianceAdvisorManager
Neural analysis suggests this role is
optimal for Mid candidates.
“Compliance Advisor Manager at Capital One. Skills: Compliance Management Program (CMP) support, Regulatory risk assessment, US Banking laws rules and regulations, Leadership, Influencing skills. Support Capital One’s Finance group. Support management and oversight of a Compliance Management Program (CMP) supporting critical Finance areas”
What You'll Achieve.
Ensure an effective and flexible control environment; Ensure appropriate, risk-based application of the CMP to Finance; Maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk; Support the reliable and sustainable delivery of the CMP across the Finance organization; Ensure Capital One’s compliance with applicable laws, regulations, policies and procedures
Industry & Context.
Leverage analytical thinking; Propose potential mitigations
Capital One will not sponsor a new applicant for employment authorization for this position.
What They're Looking For.
Must Have
Bachelor's Degree or military experience, At least 5 years of experience in compliance, risk, legal, regulatory, or audit within the financial service industries, At least 5 years of experience with US Banking laws rules and regulations., At least 5 years of experience translating regulatory requirements into operational processes and business solutions
Nice to Have
Master's Degree or Juris Doctor, Experience working at or with large banks and regulatory agencies, Familiarity and working knowledge of securities laws, Excellent communication and stakeholder management skills, with the ability to effectively challenge, influence outcomes and drive execution
What You'll Do.
Support Capital One’s Finance group
Support management and oversight of a Compliance Management Program (CMP) supporting critical Finance areas
risk-based application of the CMP to Finance
Engage the business and line of business risk function to maintain a CMP
Administer unique processes related to managing a federated Compliance model across multiple independent risk functions
Execute key components of the CMP to support consistent adherence across Finance
Coordinate with stakeholders on control testing
process level assessments
new business initiatives
Review intercompany service agreements for regulatory applicability
Support regulatory change management and issue management
Serve as a credible compliance advisor representing the Compliance organization to the Finance business teams
and other independent risk functions
Maintain subject matter expertise and gain industry insights related to Finance
Develop and leverage relationships with business leadership
and other stakeholders
identify and escalate risk scenarios early and propose potential mitigations
Create and monitor ongoing engagement model with other independent risk functions
How You'll Work.
Team & Collaboration
Integrate themselves seamlessly into business routines; Leverage leadership and influencing skills to engage the business and line of business risk function; Develop and leverage relationships with business leadership, Legal, and other stakeholders; Serve as a credible compliance advisor representing the Compliance organization to the Finance business teams, and other independent risk functions; Create and monitor ongoing engagement model with other independent risk functions
Communication Scope
Excellent communication and stakeholder management skills
Full Job Description
Compliance Advisor Manager **Corporate Compliance is seeking a Manager to support Capital One’s 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.** **Finance’s 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 OCC’s 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.** ****Here’s how you’ll operate:**** * **Execute 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 i
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