Capital One
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.
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
Perform and/or participate in compliance risk assessments of business processes and products.
Ideal Candidate
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
Ability to prioritize and clearly articulate trade-offs while also maintaining flexibility as the situation changes.
Basic Qualifications
Bachelor’s Degree or Military experience
At least 3 years experience of compliance risk management, risk management, legal, audit, or regulatory examiner experience
Preferred Qualifications
Master’s Degree or Juris Doctor
6+ years of compliance risk management, risk management, legal, regulatory examiner, audit, or regulatory examiner experience
Certified Risk Professional (CRP), Certified Regulatory Compliance Manager (CRCM), or Certified Compliance and Ethics Professional (CCEP)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager
Richmond, VA: $132,800 - $151,600 for Compliance Advisor Manager
This role is expected to accept applications for a minimum of 5 business days.
Legal and EEO 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com
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).
#J-18808-Ljbffr
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.
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
Perform and/or participate in compliance risk assessments of business processes and products.
Ideal Candidate
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
Ability to prioritize and clearly articulate trade-offs while also maintaining flexibility as the situation changes.
Basic Qualifications
Bachelor’s Degree or Military experience
At least 3 years experience of compliance risk management, risk management, legal, audit, or regulatory examiner experience
Preferred Qualifications
Master’s Degree or Juris Doctor
6+ years of compliance risk management, risk management, legal, regulatory examiner, audit, or regulatory examiner experience
Certified Risk Professional (CRP), Certified Regulatory Compliance Manager (CRCM), or Certified Compliance and Ethics Professional (CCEP)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager
Richmond, VA: $132,800 - $151,600 for Compliance Advisor Manager
This role is expected to accept applications for a minimum of 5 business days.
Legal and EEO 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com
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).
#J-18808-Ljbffr