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Director of Compliance

Job ID R28626 Updated date 06/19/2017 Locations 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.

Director of Compliance

Job Description:

As Director of Canada Compliance, you will bring together leadership, compliance expertise, and relationship management to help our technology-focused business be dynamic and well-controlled.  You will lead a team that provides expert advice to the business on regulatory matters and oversees governance of the compliance management program.  You thrive in an agile, fast-paced environment and have a strong background in financial industry regulations.  You are a strong relationship builder who has experience with influencing and consulting with a diverse group of business leaders and corporate stakeholders. 

Responsibilities:

  • Lead the Compliance Advisory team, which is responsible for providing expert compliance advice on business initiatives and processes
  • Evaluate new ventures, products, services, and marketing initiatives for compliance risk, and advise leadership on mitigation strategies
  • Assist business leaders in understanding and complying with complex regulatory requirements
  • Understand expectations from external entities such as auditors and regulators, and partner with first line leadership on ensuring compliance
  • Manage team of compliance analysts to bring the latest thinking to compliance monitoring, reporting, and escalation
     

Basic Qualifications:

  • Bachelors’ Degree
  • At least 7 years of experience in compliance management, risk management, or legal role within a financial institution
  • At least 3 years of experience in people management
  • At least 3 years of experience working with audit and regulatory exams
  • At least 2 years of experience working in an agile work environment

Preferred Qualifications:

  • Bachelor of Laws
  • 10 years of experience in compliance management, risk management, or legal role within a financial institution
  • Past experience working in a technology-driven environment, and comfort working with data analytics
  • Proven record of innovation and process improvements
  • Ability to work in a fast-paced work environment with an ability to influence others

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 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.

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).

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