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Principal Compliance Associate, Advisory

Job ID R30341 Updated date 07/25/2017
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.

Principal Compliance Associate, Advisory


Reporting to the Advisory Lead, you will be responsible for providing advice and effective challenge to the business unit stakeholders on ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and 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.


  • Assist business stakeholders in understanding and complying with complex regulatory requirements
  • Work with business stakeholders to implement regulatory changes, and to enhance controls for existing regulatory requirements
  • Understand expectations from external entities such as auditors and regulators, and partner with business on ensuring compliance
  • Understands how the risk appetite and risk culture should be considered in day-to-day activities and decisions.

Basic Qualifications:

  • Bachelors’ Degree
  • Proficient in Microsoft Office
  • At least 2 years of experience in the financial services industry

Preferred Qualifications:

  • Legal or regulatory background and qualifications
  • Working knowledge of statutes, industry standards, and regulatory guidance applicable to banks
  • 3+ years of experience working in the financial services industry in a regulatory compliance, audit or risk management function

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.

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

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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).