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Senior Associate, Compliance

Job ID R26210 Updated date 05/25/2017 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.

Senior Associate, Compliance

Senior Associate, Compliance Advisory

At Capital One, we march to a different beat! With thousands of employees, we never lose anyone in the shuffle, but celebrate individuals with respect and exceptional benefits. And we don't just fill positions, but recruit the best and the brightest people that know how to set industry trends and wow consumers.

Capital One has celebrated milestones, including: 

  • 148 on the Fortune 500
  • More than 31,500 associates globally
  • 50 million customer accounts 
  • Canada's Top Employer for Young People for 2013
  • Great Place to Work - Best Workplace in 2014

If you've been looking for a different kind of company then you've come to the right place. At Capital One, you'll find energized, positive people all working together to accomplish one goal - customer satisfaction. With many opportunities to develop new skills and great benefits like educational assistance available, you'll wonder what took you so long to get here.


This is a Senior Associate position for the Canadian Branch of Capital One.  The individual will be responsible for supporting the Partnership Lead Advisor, in providing advice and effective challenge to the business on related matters.  


  • Provide support and back-up to the Lead Advisor of the Partnership portfolio, including the following responsibilities:
    • Attending all Huddles, Command Centres, PODs, and other relevant meetings;
    • Assessing Issues in PRIME; and
    • Providing compliance support to any upcoming initiatives
  • Provide back-up for the Third Party Management (TPM) advisor;
  • Staying current on all changes in laws, regulations and regulatory guidance that impact Capital One; and
  • Attending internal and external conferences/courses (some travel may be required, no more than 10% on an annual basis)

The successful candidate will possess the following:

  • Knowledge of statutes, industry standards, and regulatory guidance applicable to banks
  • Knowledge of the applicable regulatory standards and the compliance framework
  • Excellent interpersonal skills
  • Excellent written and oral communication skills, and demonstrated analytical skills
  • Practical business sense and solutions focused approach
  • Ability to understand business concepts and needs

Basic Qualifications:

  • Bachelor’s Degree
  • At least 2 years of experience in the financial services industry

Preferred Qualifications:

  • Legal or regulatory background and qualifications

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

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).