Compliance Advisor Manager

Capital Ones Retail Bank has grown by leaps and bounds in the last couple of years. The Bank has risen up the league tables in deposits and checking relationships capitalizing on industryleading products and a unique challenger brand with superior digital capabilities and distinctive cafes and branches.

Small businesses are the backbone of America and a vital part of the economy as a whole. Their success is essential to economic growth and prosperity. Within Capital Ones Small Business Bank we help our clients stand out with personalized advice and resources that can help them prepare for whats next. Weve helped hundreds of thousands of business owners secure their finances streamline their cash flow and save time on banking by providing a variety of competitive savings checking escrow lending and treasury management products. Our clients arent just our clientstheyre our business partners.

As a Compliance Advisor Manager supporting Small Business Bank you will join a team of compliance advisors who support Small Business Bank products and services functions operations and customer contact centers.

Compliance Advisor Managers help the bank comply with applicable laws and regulations. A successful Compliance Advisor Manager is a highly motivated forward thinking selfstarter who can work autonomously sees beyond the present to identify tomorrows risks is technologically adept and a problem solver. The Compliance Advisor Manager is responsible for delivering quality results providing sound compliance advice to the business as a subject matter expert and executing against the responsibilities outlined below.

Specific Responsibilities:

• Maintain expert knowledge of applicable consumer and small business banking laws and regulations keeping up with and advising the business on current and emerging developments;

• Provide effective challenge and advice through regular interaction with business partners and risk management colleagues both 1:1 and in group settings to influence process development procedures controls and monitoring;

• Exercise sound judgment to effectively assess dimension and balance risk when providing compliance advice to the business;

• Evaluate new business initiatives and participate in complex projects to identify potential compliance risk and risk mitigation activities and effectively challenge business to remain within approved compliance risk appetite;

• Determine and/or validate applicability of laws and regulations to business processes;

• Provide guidance on and assess adequacy of controls over regulatory requirements and business line monitoring of those controls;

• Assess the impact and potential compliance risk exposure of operational breakdowns or findings including customer complaints and advise business during remediation;

• Identify trends in internal and external compliance data and proactively advise on current and emerging risks; and

• Perform and/or participate in compliance risk assessments of business processes and products.

The ideal candidate will possess:

• A strategic collaborative energetic and solutionoriented style even in ambiguous situations;

• Ability to quickly adapt and thrive in a fastpaced dynamic environment and highly regulated industry;

• Highly developed interpersonal presentation and communications skills (written and oral) coupled with strategic influencing and negotiation skills to perform effective challenge and catalyze change among various stakeholder groups;

• Creativity resourcefulness and a passion for problemsolving as a team player who can build relationships with associates across functions business lines and levels

• Ability to balance operating independently with appropriate escalation and interaction with senior leadership;

• The highest ethical standards and unwavering integrity with discretion in handling highly sensitive or confidential issues; and

• Ability to prioritize and clearly articulate tradeoffs while also maintaining flexibility as the situation changes.

Basic Qualifications:

• Bachelors Degree or Military experience

• At least 3 years experience of compliance risk management risk management legal audit or regulatory examiner experience

Preferred Qualifications:

• Masters Degree or Juris Doctor

• 6 years of compliance risk management risk management legal regulatory examiner audit or regulatory examiner experience

• Certified Risk Professional (CRP) Certified Regulatory Compliance Manager (CRCM) or Certified Compliance and Ethics Professional (CCEP)

At this time Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum fulltime annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for parttime roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Candidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total wellbeing. Learn more at theCapital One Careers website. Eligibility varies based on full or parttime status exempt or nonexempt status and management level.

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 ator 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.

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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).