Compliance Manager- GovernanceApply now Job ID R37323 Updated date 11/01/2017 Location 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.
Reporting to the Advisory Lead, you will be responsible for a wide-range of Compliance Governance functions, as well as implementing changes to new and/or existing processes or procedures. You thrive in an agile, fast-paced environment, possess a practical business sense and a solution focused approach. You are a strong relationship builder who has experience with influencing and consulting with a diverse group of business stakeholders.
- Lead and contribute on all Canada Compliance Governance activities
- Partner with the team to ensure all obligations under the Compliance Management policy are met
- Manage and lead the Compliance reporting process for Canada
- Manage the Regulatory Change process for Canada Compliance by ensuring all updated/new regulations are correctly shared across all teams;
- Managed the Canada Compliance training program, working with the Business Risk Office to ensure all annual training is scheduled and completed. Where required, lead the content review and ensure all compliance approvals are obtained
- Manage the Canada Policy Office; ensure all existing policies are reviewed/renewed in a timely manner; assist various stakeholders in the development of new policies/standards/procedures; be the point of contact for the Corporate Policy Office
- Be an expert on PRIME (Internal compliance database). When required provide training/support to the compliance team on technical aspects of the system. Maintain strong audit trails of all key changes in requirement applicability
- Provide reporting from PRIME to ensure Canada Compliance is fulfilling on its obligations under the Compliance Management Policy
- Understand expectations from external entities such as auditors and regulators, where required be the point of contact for audit engagements
- Understands how the risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Identifies opportunities for enhancing risk management and risk measurement practices and works collaboratively with team and partners to drive improvements
- Bachelors’ Degree
- 5+ years of experience working in a highly regulated industry and/or financial services
- Working knowledge of statutes, industry standards, and regulatory guidance applicable to banks
- 4+ year of experience in developing, implementing and/or leading Compliance Governance programs
- 6+ years of experience working in the financial services industry in a regulatory compliance, audit or risk management function
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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).