Manager- Compliance Advisory

at Capital One Services II, LLC in Wilmington, Delaware, United States

Job Description

Job ID: R156999

Center 2 (19050), United States of America, McLean, Virginia

Manager- Compliance Advisory

Capital One's Retail Bank has grown by leaps and bounds in the last couple of years. The Bank has risen up the league tables in deposits and checking relationships, capitalizing on industry-leading products and a unique challenger brand with superior digital capabilities and distinctive cafes and branches.

Small businesses are the backbone of America and a vital part of the economy as a whole. Their success is essential to economic growth and prosperity. Within Capital One's Small Business Bank, we help our clients stand out with personalized advice and resources that can help them prepare for what's next. We've helped hundreds of thousands of business owners secure their finances, streamline their cash flow and save time on banking by providing a variety of competitive savings, checking, escrow, lending and treasury management products. Our clients aren't just our clients-they're our business partners.

As a Compliance Advisor Manager supporting Small Business Bank, you will join a team of compliance advisors who support Small Business Bank products and services, functions, operations, and customer contact centers.

Compliance Advisor Managers help the bank comply with applicable laws and regulations. A successful Compliance Advisor Manager is a highly motivated, forward thinking, self-starter who can work autonomously, sees beyond the present to identify tomorrow's risks, is technologically adept, and a problem solver. The Compliance Advisor Manager is responsible for delivering quality results, providing sound compliance advice to the business as a subject matter expert, and executing against the responsibilities outlined below.

Specific Responsibilities:

Maintain expert knowledge of applicable consumer and small business banking laws and regulations, keeping up with and advising the business on current and emerging developments;

Provide effective challenge and advice through regular interaction with business partners and risk management colleagues, both 1:1 and in group settings, to influence process development, procedures, controls, and monitoring;

Exercise sound judgment to effectively assess, dimension, and balance risk when providing compliance advice to the business;

Evaluate new business initiatives and participate in complex projects to identify potential compliance risk and risk mitigation activities, and effectively challenge business to remain within approved compliance risk appetite;

Determine and/or validate applicability of laws and regulations to business processes;

Provide guidance on and assess adequacy of controls over regulatory requirements and business line monitoring of those controls;

Assess the impact and potential compliance risk exposure of operational breakdowns or findings, including customer complaints, and advise business during remediation;

Identify trends in internal and external compliance data and proactively advise on current and emerging risks; and

Perform and/or participate in compliance risk assessments of business processes and products.

The ideal candidate will possess:

A strategic, collaborative, energetic, and solution-oriented style, even in ambiguous situations;

Ability to quickly adapt and thrive in a fast-paced, dynamic environment and highly regulated industry;

Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing and negotiation skills to perform effective challenge and catalyze change among various stakeholder groups;

Creativity, resourcefulness, and a passion for problem-solving as a team player who can build relationships with associates across functions, business lines, and levels

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

The highest ethical standards and unwavering integrity, with discretion in handling highly sensitive or confidential issues; and

Ability to prioritize and... For full info follow application link.

Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace. 

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries. 


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Job Posting: 1078691

Posted On: Nov 26, 2022

Updated On: Dec 26, 2022

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