Capital One Compliance Advisor Manager 

United States, New York, New York 

486291078

NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Manager

Responsibilities:

• Provide lines of business with advisory guidance in the definition, development, and monitoring of controls related to applicable requirements.

• Conduct compliancerisk assessmentsand support lines of business for new processes, new products, key programs, and/or initiatives, advise lines of business of identified risks, and support remediation efforts and/or policy and process changes.

• Help with drafting and maintaining written policies and procedures across lines of business.

• Anticipate, identify, and escalate risk scenarios early and propose potential mitigations.

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

• Work closely with the Legal Department and outside counsel regarding potential and actual changes to the NMTC Program, Volcker and Swap Dealer rules and regulations.

• Assist with administering the Swap Dealer Compliance program.

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

• Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts and regulatory focus areas.

Basic Qualifications:

• Bachelor’s degree or Military Experience

• At least 5 years of experience in compliance, legal, audit or risk management within financial services

• At least 5 years of experience in real estate finance, government incentive programs or transactional experience

• At least 5 years of experience work with swaps or other derivative products

Preferred Qualifications:

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

• Master’s Degree or Juris Doctor

• Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise Risk Professional (CERP)

• Knowledge of Commodity Futures Trading Commission (CFTC) regulations pertaining to swap dealers, National Futures Association (NFA) and Volcker rule.

• Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations

New York City (Hybrid On-Site): $147,800 - $168,700 for Compliance Advisor ManagerThis 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.