Capital One Compliance Director Lending & Finance 

United States, Virginia, Arlington 

181998065

Center 1 (19052), United States of America, McLean, Virginia Compliance Director, Lending & Finance

Specific responsibilities include, but are not limited to, the following:

• Serve as a credible business advisor and partner representing the Compliance organization to Commercial Banking Lending and Finance

• Lead a team of Compliance Advisors as they support specific areas within Commercial Banking Lending and Finance

• Advise on regulatory and Compliance topics and coordinate with horizontal Compliance teams (AML, Privacy, Fair Lending)

• Develop Compliance policies to address corporate and regulatory requirements

• Maintain subject matter expertise in applicable laws, regulations, and regulatory guidance (e.g., SEC Reg AB, FRB Reg B, FRB Reg K, FRB Reg W)

• Identify and investigate potential rule breaches, escalate issues and coordinate corrective actions with business and control functions, as needed

• Assist in the development and administration of Compliance training

• Provide Compliance input and review new business initiatives, assessing compliance and regulatory risks and proactively identifying potential issues related to the new products/services

• Maintain key relationships with business leadership as well as Legal, Risk Management, and other stakeholders

• Coordinate with cross-functional teams to accomplish shared objectives

• Support the management of issues with the business and risk office as they arise

• Anticipate, identify and escalate risk scenarios where needed and propose potential mitigations

• Liaise with internal audit and assist on regulatory exams

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 8 years of experience in compliance, legal, audit or risk management within financial services

• At least 7 years of experience supporting, partnering or interacting with internal business clients

Preferred Qualifications:

• Juris Doctor (J.D.) or Master’s Degree

• Certified Regulatory Compliance Manager (CRCM) or Certified Information Privacy Professional (CIPP)

• 10+ years of experience in Commercial Banking or Capital Markets

New York City (Hybrid On-Site): $202,400 - $231,000 for Director, ComplianceThis role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

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.