Compliance Advisory Specialist III, Local Governance

Overview

Compliance Advisory Specialist III, Local Governance

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #91 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. 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.

The Role:

We are seeking a highly motivated and talented Local Governance Lead (LGOV) to support the Enterprise Services line of business, Privacy, and Third Party Management Compliance teams. The Local Governance Lead performs a key second line of defense risk management role to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. In this role, you will work closely with leadership to help advance our key priorities, coordinate day-to-day operations, and provide support across a range of efforts that contribute to the overall health and effectiveness of the team.  

Responsibilities:

• Liaison with the Enterprise Compliance Governance team and other Local Governance Leads (LGOV) 

• Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations

• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

• Manage several key reporting activities 

• Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts

• Actively participate on complex projects through providing guidance, advise, and effective challenge

• Prepare agendas, coordinate materials, facilitate team meetings

• Provide change management support, including communications

• Identify opportunities for process improvements

• Analyze all-associate survey scores

• Lead and review department training, as appropriate

• Support Compliance teams (advisory, testing, and third party compliance), as directed

The Successful Candidate Will:

• Demonstrate exceptionally strong communication and relationship building skills, customer focus, and ability to collaborate and influence across teams and multiple levels 

• Possess strong writing skills, including the ability to create and manage executive reporting and team communications

• Effectively and autonomously manage and execute simultaneous projects and tasks, while demonstrating urgency, prioritization, and ownership to drive issues to completion

• Possess excellent organizational skills and the ability to be goal/execution-oriented

• Be highly organized, yet adaptable to react quickly to urgent matters

• Have a continuous improvement and curiosity mindset

• Demonstrate an ability to understand objectives and autonomously get to great outcomes 

• Possess strong problem-solving and conceptual thinking skills

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 3 years of experience in compliance, risk management, legal, or audit

• At least 4 years of experience supporting, partnering, and interacting with internal business clients

Preferred Qualifications:

• Master’s Degree

• 4+ years of experience in compliance, risk management, legal, or audit

• 2+ years of experience in Project Management

• Compliance related certifications (Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP))

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.

McLean, VA: $117,300 - $133,900 for Compliance Advisory Specialist III

Richmond, VA: $106,700 - $121,700 for Compliance Advisory Specialist III

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 theCapital 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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com

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).