The Enterprise Services Compliance Advisor performs a key risk management role to ensure various business lines’ processes, products and initiatives comply with applicable federal and state laws and regulations. The Compliance Advisor Manager will apply risk, process management, and analytical skills to drive actions in support of regulatory risk objectives for the Compliance department and assigned business lines which are varied and provide critical backbone functions to Capital One.
The Compliance Advisor Manager will support the implementation and management of a robust Risk and Compliance Management program across varied Enterprise Services functions - from management of current and future Capital One locations and real estate, return-to-work scenarios, safety and security of personnel, and much much more. The successful candidate will be self-starting and intrepid, seeing beyond the present to identify tomorrow’s risks, and be able to integrate themselves seamlessly into existing and emerging business lines.
The Compliance Advisor supporting Enterprise Services will be up for the challenge of supporting key strategic business objectives and providing Compliance guidance in a clear, solution oriented and customer-focused manner.
Maintain expert knowledge of applicable laws, regulations, and supervisory guidance (pertaining to procurement, facilities management, Bank physical security).
Provide effective challenge and advice through regular interaction with business partners, both 1:1 and in group settings, to influence process development, procedures, compliance controls and monitoring
Serve as a credible business partner representing the Compliance organization to other risk teams, line of business teams and leaders
Maintain key relationships with assigned business areas including WorkPlace Solutions (facilities management), Enterprise Supplier Management (Procurement), and Enterprise Safety and Security.
Exercise sound judgment to effectively assess and balance risk when providing compliance advice to the business
Partner with other risk management and Compliance colleagues, including testing teams privacy and third party compliance management
Establish and/or validate applicability of laws and regulations to business processes
Assess adequacy of controls over legal and regulatory requirements and business line monitoring of those controls
Assess the compliance impact of operational breakdowns or findings and advise business during remediation
Perform or advise on process level compliance risk assessments and document risk rationale
Assist in capturing, maintaining, and analyzing compliance data to support advising on risk and adherence to our compliance management program
Evaluate line of business initiatives and participate in complex projects to identify potential compliance risk, identify opportunities to mitigate risk, and escalate as needed
The ideal candidate will possess:
A strategic, collaborative, energetic and solution-oriented style
Ability to balance operating independently with appropriate escalation to leadership
Ability to quickly adapt and thrive in a fast-paced dynamic environment and highly regulated industry
Ability to navigate ambiguous situations
Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing and negotiation skills to perform effective challenge and to reach agreement among various stakeholder groups
Team player with creativity, resourcefulness, a passion for problem-solving, and an ability to build relationships with associates across functions, business lines, and levels
Strong project management, process management, and organizational skills
Ability to prioritize and clearly articulate trade-offs while also maintaining flexibility as the situation changes
The highest ethical standards and integrity, with discretion in handling highly sensitive or confidential issues
Bachelor’s degree or military experience
At least 3 years of compliance, legal, risk management, regulatory examiner, or audit experience
Master’s or Juris Doctor degree
6 years of financial consumer compliance, risk management, regulatory examiner, legal or audit experience.
Certified Regulatory Compliance Manager (CRCM), Certified Risk Professional (CRP) or Certified Compliance and Ethics Professional (CCEP)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.
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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).
Who We Are
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. We are succeeding because they are succeeding.
Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.