Manager, Compliance - Local Governance

Category

Risk Management

Experience

Manager

Primary Address

Richmond, Virginia

Overview

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #82 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

The Role:

We are seeking a highly motivated and talented Compliance Manager to join our Governance team to support the US Card Compliance team. The Compliance Principal Risk Specialist performs a key second line of defense risk management role to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. In this role, you will work within the Compliance Management framework providing compliance advice to the US Card line of business, participating in corporate processes, coordinating day-to-day operations, and providing support across a range of efforts that contribute to the overall health and effectiveness of the team.

Responsibilities:

• Maintain strong understanding of Compliance Risk Management Framework and applicable laws and regulations

• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

• Evaluate Internal Audit, Regulatory Exam, and self identified issues and events for compliance impacts

• Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements

• Actively participate on complex projects through providing guidance, advice, and effective challenge

• Provide change management support, including communications

• Perform UDAAP validations and reviews

• Participate in reporting activities, as directed

• Identify opportunities for process improvements

• Support the leadership team by preparing agendas and coordinating materials for team meetings

• Support Compliance teams (advisory and testing), as directed

The Successful Candidate Will:

• Demonstrate exceptionally strong communication and relationship building skills, customer focus, and ability to collaborate and influence across teams and multiple levels

• Possess strong writing skills, including the ability to help create and manage executive reporting and team communications

• Effectively and autonomously manage and execute simultaneous projects and tasks, while demonstrating urgency, prioritization, and ownership to drive issues to completion

• Possess excellent organizational skills and the ability to be goal/execution-oriented

• Be highly organized, yet adaptable to react quickly to urgent matters

• Have a continuous improvement and curiosity mindset

• Demonstrate an ability to understand objectives and autonomously get to great outcomes

• Possess strong problem-solving and conceptual thinking skills

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 3 years of experience in compliance, legal, or audit

• At least 3 years of credit bureau reporting experience

• At least 5 years of experience supporting, partnering, and interacting with internal business clients

Preferred Qualifications:

• Master’s Degree

• 5+ years of experience in compliance, legal, or audit

• Experience in the financial services industry

• CRCM, ACAMS, CIPP, or Series 7, 24, or 63/65 certifications

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

The minimum and maximum full-time 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 part-time 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 candidate’s offer letter.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt 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 at 1-800-304-9102 or via email at [email protected]. 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 [email protected]

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).