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About the Role

The Compliance Manager will support management and oversight of a Compliance Management Program (“CMP”) supporting critical Finance areas that pose unique regulatory risk and specifically for Regulation W and Regulation K compliance, taking into account the OCC’s Heightened Standards guidelines. The successful candidate will be self-starting, entrepreneurial, able to develop strong relationships, and integrate themselves seamlessly into business routines. The Manager will leverage strong analytical thinking and regulatory knowledge 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 line of business risk function to maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk.

Responsibilities

Execute key components of the CMP to support consistent adherence across Finance, including but not limited to Regulation W and Regulation K requirements, including coordination 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 dedicated subject matter expert advisor for Regulation W compliance providing expertise on Section 23A and 23B requirements, issues management, intercompany transactions and service agreements, including advising on control and program enhancements.
Partner with business teams to identify and mitigate affiliate risk.
Serve as a credible compliance advisor representing the Compliance organization to the 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 ongoing engagement model with other independent risk functions to ensure Capital One’s compliance with applicable laws, regulations, policies and procedures

Requirements

Bachelor’s Degree or military experience
At least 5 years of experience in compliance, risk, legal, regulatory, or audit within the financial service industries
At least 5 years of experience providing compliance advisory or legal counsel for Regulation W
At least 5 years of experience with US Banking law rules and regulations.
At least 5 years of experience translating regulatory requirements into operational processes and business solutions
Master’s Degree or Juris Doctor
Experience working at or with large banks and regulatory agencies
Familiarity and working knowledge of securities laws
Excellent communication and stakeholder management skills, with the ability to effectively challenge, influence outcomes and drive execution

Skills

Regulation W
Regulation K
Section 23A
Section 23B
US Banking law
Securities laws
Communication
Stakeholder management
Analytical thinking
Regulatory knowledge
Leadership
Influencing skills

Location

McLean, VA
New York, NY
Richmond, VA

Work Type

Full-time

Experience Level

5 years of experience

Education Level

Bachelor's Degree
Master's Degree
Juris Doctor

Salary/Compensations

McLean, VA: $151,900 - $173,400
New York, NY: $165,700 - $189,200
Richmond, VA: $138,100 - $157,700

Benefits

Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
Eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).

About the Company

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.
Capital One Financial is made up of several different entities.

Equal Opportunity

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.