Capital One Compliance Advisory Manager 

United States, New York 

23785460

1307 Walt Whitman (22600), United States of America, Melville, New York Compliance Advisory Manager

Responsibilities

• Provide guidance and effective challenge to our Retail Bank business on consumer compliance risks

• Maintain subject matter expertise of existing consumer banking laws and regulations, including Reg CC, Reg DD, Reg B, FCRA, ADA, SCRA, Reg E, Reg O, UDAAP, CRA, and state laws pertaining to deposit accounts and UDAP

• Develop strong working knowledge of business products, services, processes, and strategy

• Communicate with and support business leaders through one-on-one and group/project interactions

• Execute risk assessments and independently evaluate the effectiveness of the business’s risk mitigation actions

• Advise the business on the development of effective consumer compliance controls and monitoring, and steps to take to comply with changes in consumer banking laws and regulations

• Closely follow emerging consumer banking trends, including the development of new laws and evolving emerging risks

• Actively engage in problem solving and knowledge sharing with others within the Compliance and Legal departments

• Participate in and support Compliance senior leadership with risk reporting and regulatory engagements

The ideal candidate will possess:

• A focus on results and achieving short- and long-term goals

• A proven track record of supporting and working across groups and functions and with a senior management team

• Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry

• Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team

• Highly developed interpersonal, presentation, and communications skills (written and oral)

• Strategic influencing skills, with the ability to build understanding and agreement among diverse groups

• Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues

• An understanding of how banking technology performs, and how consumer laws and regulations apply to the utilization of technology and data in serving our customers

• Strong project management, process management, and organizational skills

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

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 4 years of experience in compliance, legal, risk management, or audit

• At least 3 years of experience supporting, partnering, and interacting with business clients

Preferred Qualifications:

• Juris Doctor or Master’s Degree

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

• Experience in the financial services industry

• CRCM (Certified Regulatory Compliance Manager) certification

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.