Director, Compliance Advisory

About the role

The Director, Compliance Advisor performs a key risk management role (second line of defense) to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Director, Compliance Advisor is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes.

The Director, Compliance Advisor supports the line of business by

• Providing input on business regulatory requirements
• Providing guidance on business policies, standards, and procedures
• Developing and leading department training
• Providing compliance advice on complex projects
• Providing guidance on controls over regulatory requirements and line of business monitoring of those controls
• Reviewing business controls and providing guidance on identified risks

Responsibilities

• Review complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts
• Identify trends in data and proactively advise on identified external and internal risks
• Maintain subject matter expertise of applicable laws and regulations
• Perform and review control assessments executed by peers for accuracy and adherence to test procedures
• Evaluate Internal Audit, Regulatory Exam and self-identified issues and events for compliance impacts
• Provide effective challenge and guidance on compliance risks and support risky business areas through various interactions and forum engagements
• Advise lines of business on application of compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation
• Assist lines of business in the development and maintenance of the compliance program, such as how to monitor, report, and train on areas of potential risk
• Support lines of business through expert advice, including change management of processes, procedures, and controls
• Conduct targeted validations and reviews on controls for applicable regulations
• Perform UDAAP validations and reviews
• Active involvement with compliance testing and third party compliance
• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate compliance risk management
• Participate in reporting activities used by senior leadership

Additional information

This role is designated as a hybrid position. You are expected to adhere to Capital One's hybrid policy regarding required on-site presence at your designated office location.

Basic Qualifications

• Bachelor’s Degree or military experience
• At least 8 years of risk management, compliance, audit or legal experience
• At least 3 years of consumer financial services experience

Preferred Qualifications

• Certified Regulatory Compliance Manager (CRCM) accreditation or Juris Doctor degree
• Auto finance risk, auto finance compliance or auto finance originations experience

Additional information

At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).

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.

Pay and benefits

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.

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).