Capital One’s digital transformation and growth presents an exciting opportunity to provide leading edge, innovative approaches to compliance risk management. Capital One is increasingly using technology to further its most dynamic, innovative products, which includes providing these products and services to both internal lines of business and external customers. This calls for innovative ways for us to think about compliance and risk in a way that helps the business succeed, safely and swiftly.
The Principal Compliance Advisor will be up for the challenge of supporting the Enterprise Services (ES) Compliance Advisory team in managing critical components of our Compliance Management Program (CMP). This associate will support various compliance advisory responsibilities for Enterprise Services business areas (including Technology, Enterprise Product and Platforms, Brand) with compliance risk assessments; identification of regulatory requirements and risks associated with business processes and initiatives; performing data analysis and reporting to support compliance risk assessments or the proactive identification of potential areas of risk; serve as a liaison or directly support Enterprise Services/Enterprise wide initiatives or processes. .
The Principal Compliance Advisor will engage with multiple areas within Enterprise Services, Compliance and Risk Management Division as well as the extended Enterprise Services and Privacy Compliance team.
Key Responsibilities of this role: The Principal Compliance Advisor is responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert in laws and regulations related to businesses supported. Additional responsibilities include:
Provide Compliance advisory support for one or more ES business units
Serve a liaison with business risk office to understand initiatives that may impact Compliance Advisory
Conduct review of new/changed laws and regs to determine applicability to business processes
Serve as ES Compliance representative at various forums to determine impacts and areas of engagement for the team
Manage the centralized ES compliance risk inventory that is used for new product, marketing, initiatives and other risk assessments
Facilitate the creation, review or update Compliance specific training
Develop draft documents for the team to leverage with client groups.
Facilitate the consolidation of feedback and review data packs to identify areas requiring additional review in support of risk identification processes
Facilitate the review of JIRA board in team stand-ups to highlight upcoming deliverables, flagging upcoming/past due activities as well as owning management of board for own deliverable.
Synthesize data from various reports (i.e Advisory Trending, Issue/Event dashboard, Tech Risk Dashboard)
Develop and manage the intake process to support business requests for engagement of Compliance Advisory staff.
Partner with local compliance governance team in support of management reporting; requests and initiatives
Ideal Candidate will have:
The desire and aptitude to think innovatively and proven track record for delivering results
A successful track record of thriving in a fast paced, entrepreneurial and dynamic environment
The proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organization
High energy and a desire to work in a results-oriented, rapid growth environment
The ability to analyze, evaluate, develop and effectuate solutions to complex problems
Team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills
Bachelor’s Degree or military experience
At least 2 years of experience in Compliance, Risk Management, Legal, or Audit
At least 3 yeas of experience working with internal business clients
At least 4 years of experience working within a technical, FinTech or highly regulated industry
At least 4 years of experience in Audit, Risk, Controls, Compliance or related functions
At least 4 years experience working cross-functionally, individually, land communicating across all levels of leadership
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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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.