Compliance Advisor Manager

Compliance Advisor Manager – Finance

Overview

Corporate Compliance is seeking a Manager to support Capital One’s Finance group. Finance is responsible for executing the overall financial management of Capital One, including Corporate Treasury operations, capital analysis and reporting, balance sheet management, corporate development, tax filing and strategy, line of business and top of house financial planning and management reporting, accounting and external reporting, and investor relations. The Compliance Manager will support management and oversight of a Compliance Management Program (CMP) for Finance, addressing regulatory risk areas such as Regulation W and Regulation K, in alignment with OCC Heightened Standards.

The role requires self‑start capability, strong relationship building, regulatory knowledge, and the ability to integrate into business routines while applying a risk‑based CMP across Finance.

Responsibilities

• Execute key components of the CMP to support consistent adherence across Finance, including Regulation W and Regulation K requirements; coordinate with stakeholders on control testing, process level assessments, new business initiatives, review intercompany service agreements for regulatory applicability, and support regulatory change management and issue management.

• Serve as a credible compliance advisor representing the Compliance organization to Finance business teams and other independent risk functions.

• Maintain subject matter expertise and gain industry insights related to Finance, including applicable laws, regulations, and regulatory guidance.

• Develop and leverage strong relationships with business leadership, Legal, and other stakeholders to support the reliable and sustainable delivery of the CMP across the Finance organization.

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

• Create and monitor an ongoing engagement model with other independent risk functions to ensure Capital One’s compliance with applicable laws, regulations, policies and procedures.

Qualifications

• Bachelor’s Degree or military experience.

• At least 5 years of experience in compliance, risk, legal, regulatory, or audit within the financial services industry.

• At least 5 years of experience with US banking laws, rules, and regulations.

• At least 5 years of experience translating regulatory requirements into operational processes and business solutions.

Preferred Qualifications

• Master’s Degree or Juris Doctor.

• Experience working at or with large banks and regulatory agencies.

• Familiarity with securities laws.

• Excellent communication and stakeholder management skills, with the ability to effectively challenge, influence outcomes and drive execution.

Additional Information

• 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 by location. Salaries for part‑time roles will be prorated. Locations include McLean, VA;
  New York, NY;
  Plano, TX;
  Richmond, VA;
  Wilmington, DE. The actual offer will be within the stated range and reflected in the offer letter.

• This role is eligible for performance based incentive compensation, which may include cash bonuses and/or long‑term incentives (LTI).

• Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies by status and level. Further details are available on the Capital One Careers website.

• This role may require accommodations. If you require an accommodation during the application process, please contact Capital One Recruiting.

• Capital One is an equal opportunity employer (EOE) committed to non‑discrimination in accordance with applicable laws. Capital One maintains a drug‑free workplace and may consider qualified applicants with criminal histories in accordance with applicable laws and regulations.

Disclaimer

Capital One does not provide, endorse or guarantee third‑party products or services advertised through this site. Capital One and its affiliates may have positions posted in multiple jurisdictions. This posting is for stated roles and not a general invitation to hire in other locations.