Capital One Compliance Manager - Lending & Finance 

United States, New York 

385212119

1307 Walt Whitman (22600), United States of America, Melville, New York Compliance Manager - Lending & Finance

Responsibilities include but are not limited to:

• Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions

• Developing and maintaining strong relationships with business leadership, Legal, Risk Office, and other stakeholders and coordinating with teams to accomplish shared objectives

• Advising on business regulatory requirements including securities law (e.g, Reg AB), banking regulations (e.g., Reg W, Reg K), GSE requirements and state laws and maintaining subject matter expertise of applicable laws and regulations

• Anticipating, identifying, and escalating compliance risk scenarios early and proposing potential mitigating solutions

• Providing effective challenge and guidance on compliance risks and supporting the businesses through various interactions and forums including new initiatives

• Providing guidance and influencing adjustments to business policies, standards, and procedures to mitigate compliance risk

• Leading and reviewing compliance training, as appropriate

• Providing guidance on controls over regulatory requirements and line of business monitoring of those controls

• Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans

• Assessing and advising on changes in law and regulations

• Facilitating the engagement between businesses and horizontal Compliance partners in AML, Privacy, and Fair & Responsible Banking

• Reviewing customer complaints and providing guidance on remediation

• Advising and dispositioning findings identified by compliance testing

• Supporting manager on regulatory exams and/or internal audits, as necessary

• Maintaining expert understanding of compliance management program

Basic Qualifications:

• Bachelor’s Degree or military experience

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

Preferred Qualifications:

• Master’s Degree or Juris Doctor

• 4+ years of experience in compliance, legal, or audit supporting commercial businesses

• Familiarity with and the ability to develop a thorough working knowledge of banking and securities laws and regulations (Reg AB, GSE requirements, state banking laws, Regulation W, Regulation K, securities laws)

• Ability to research, read and interpret regulations, and advise the business

• Ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrix organization

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.