Compliance Manager - Finance

Overview

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

Compliance Manager - Finance

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. Finance’s objective is to provide value to our business partners and enterprise leadership while ensuring an effective and flexible control environment. The Compliance Manager will support management and oversight of a Compliance Management Program (“CMP”) supporting critical Finance areas that pose unique regulatory risk, taking into account the OCC’s Heightened Standards guidelines.  The successful candidate will be self-starting and entrepreneurial and able to integrate themselves seamlessly into existing and emerging business lines.  The Manager will leverage strong analytical thinking and regulatory reporting skills to ensure appropriate, risk-based application of the CMP to Finance .  Additionally, the Manager will leverage strong leadership and influencing skills to engage the business and Finance Risk Management (“FRM”) to maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk. Additional duties include administering unique processes related to managing a federated Compliance model across multiple independent risk functions (e.g., Liquidity, Market, and Capital Risk Oversight, etc.) that support Finance.

Here’s how you’ll operate:

• Serve as a credible advisor and partner representing the Compliance organization to the Finance business teams, FRM and other independent risk functions

• As part of a Compliance advisory team enhance and execute the requirements of the CMP for Finance

• Maintain subject matter expertise and gain industry insight in applicable laws, regulations, and regulatory guidance

• Develop and leverage strong relationships with business leadership, Legal, FRM, and other stakeholders 

• Coordinate with cross-functional teams to accomplish shared objectives

• Support the management and manage tracking and reporting of compliance issues across a range of forums 

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

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

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 4 years of experience in management consulting, compliance, risk, legal or audit within financial services 

Preferred Qualifications:

• Master’s Degree or Juris Doctor

• 5+ years of experience working with banking and securities laws and regulations such as Reg K, Reg W, Reg AB

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital 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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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

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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).