Compliance Advisor Manager

Compliance Advisor Manager
The Compliance Advisor Manager performs a compliance support role in Fair & Responsible Banking, an enterprise compliance program covering Fair Lending, Sales Practices, UDAAP, and Complaints. The Compliance Advisor Manager works under the direction of the Director, Fair & Responsible Banking. The Compliance Advisor Manager interacts with and advises the Capital One lines of business on the need for effective methods of managing compliance risk arising from federal and state laws and regulations. The Compliance Advisor Manager also assists the VP, Fair & Responsible Banking in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., ECOA, Fair Housing Act, etc.). While working within the Compliance Management Program framework, the Compliance Advisor Manager is responsible for delivering quality results, providing compliance advice to business lines as a subject matter expert, and executing or participating in corporate risk management processes.
The Compliance Advisor Manager maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making. Additional responsibilities will include:

• Maintain subject matter expertise with all applicable Fair & Responsible banking laws, regulations, regulator guidance, and leading compliance standards.
• Provide lines of business with advisory guidance in the definition, development, and monitoring of controls related to applicable requirements.
• Conduct or support risk assessments across 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.
• Support the management of issues with business lines and risk offices as they arise.
• Anticipate, identify, and escalate risk scenarios early and propose potential mitigations.
• Review business area performance relative to key metrics.
• Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and engagements.
• Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts and regulatory focus areas.
• Coordinate with cross-functional teams to accomplish shared objectives.
• Produce results within a team and support more senior and junior advisors.
• Actively participate on complex projects through providing guidance, advice, and effective challenges.
• Assist in the promotion of a culture of compliance and managed risk taking
• Performs other related work as assigned by a Supervisory Advisor or the Fair & Responsible Banking Officer.

Basic Qualifications

• Bachelor's Degree or Military Experience
• At least 5 years of experience in compliance, legal, or audit

Preferred Qualifications

• Master's Degree or Juris Doctor
• 7+ years of experience in compliance, legal, or audit in the financial services industry
• Certified Regulatory Compliance Manager
• Strong written and verbal communication skills
• Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations

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.
Chicago, IL: $132,800 - $151,600 for Compliance Advisor Manager
McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager
Plano, TX: $132,800 - $151,600 for Compliance Advisor Manager
Richmond, VA: $132,800 - $151,600 for Compliance Advisor Manager
Riverwoods, IL: $132,800 - $151,600 for Compliance Advisor Manager
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.
This 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.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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]
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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).