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Compliance Advisor

Job ID R44589 Updated date 03/21/2018 Location Toronto, Ontario
North York (93006), Canada, North York,Toronto, Ontario,

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.

Compliance Advisor

About Capital One

Capital One Canada

Capital One is more than you think. We’ve been in Canada for over 20 years, and have supported millions of Canadians with their credit needs. We are passionate about helping our communities keep up and succeed in this rapidly-changing world. At Capital One Canada we are building an environment that celebrates diverse talent and nurtures the leaders of tomorrow.

About the Compliance Team

As a Compliance Advisor at Capital One, you’ll be part of a team that will value your perspective, and you’ll be encouraged to provide advice and to effectively challenge the business unit stakeholders on ensuring business strategies, plans and initiatives are executed and delivered in compliance with governing regulations, internal policies and procedures. Check out who you could be working with:


What the role entails

The ideal Candidate will be:

  • Curious – you ask why, you explore, you’re not afraid to challenge.  You possess a practical business sense and a solution focused approach.
  • A Wrangler – you learn how to navigate the organization and can adapt to change
  • A coach, and not a referee. You are a strong relationship builder who has experience with influencing and consulting with a diverse group of business stakeholders.
  • Able to thrive in an agile, fast paced environment
  • Autonomous, and happy to not be micromanaged

On any given day, you’ll be:

  • Working with business unit stakeholders to implement regulatory changes, and to enhance controls for existing regulatory requirements
  • Understanding expectations from external entities such as auditors and regulators, and how the risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Assisting stakeholders in understanding and complying with complex regulatory requirements
  • Reviewing, updating and developing policies and procedures to ensure compliance with complex regulatory requirements
  • Proactively assisting and advising business unit stakeholders as they engage in new or changed products, processes, systems, services or initiatives and assist with incorporating compliance requirements into these initiatives to ensure they are aligned with regulatory requirements and internal policies and procedures. Your voice will be valued here, and you will have a seat at the table.
  • Communicating new or changed regulations, regulatory trends, policies and procedures, and emerging risks to business unit stakeholders
  • Providing guidance to business unit stakeholders on establishing their day-to-day compliance controls, and monitor and assess the ongoing effectiveness of these controls
  • Assessing third party compliance risks through due diligence review


  • $5,000/ year education budget
  • Competitive RSP match
  • Employee Stock Purchase Plan
  • Leave your suit behind, we encourage comfortable attire

Basic Qualifications:

  • Minimum Bachelors’ Degree
  • At least 3 years of experience working in a highly-regulated industry and/or financial services
  • At least 3 years of experience working in a compliance, legal, or audit role
  • At least 3 years of experience working with Canadian banking legislation, laws, industry standards, and regulations as they apply to the financial services sector

Preferred Qualifications:

  • Credit card experience is an asset
  • CPA or accounting background, MBA or legal degree
  • CIPP and/or ACAMS designation is an asset
  • Knowledge of the FCAC Compliance framework
  • Strong written and verbal business communication skills. 
  • Candidates who are bilingual (English and French) will be preferred
  • Analytical skills and good judgment are extremely important
  • Ability to adopt a risk-based approach in making recommendations to implement practical policies and procedures
  • Ability to work independently with minimal direction and in a team environment
  • Willingness to continuously upgrade skills and keep informed of compliance and regulatory changes and policy updates through ongoing completion of education programs, and attending seminars and training sessions provided internally and externally

Capital One Canada is an equal opportunity employer committed to fostering a diverse and inclusive work environment. We consider all qualified applicants and will meet the needs of those requiring reasonable accommodations.

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 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

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).