Senior Compliance Risk Manager - Product Compliance, Personal Banking
MercurySalary not specified
- Full Time
- Senior (5 to 8 years)
$60,000 – $90,000Compensation
Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, Compliance, BankingIndustries
Requirements
Candidates should possess a Bachelor’s degree and have at least 7 years of experience in compliance, with a preference for a background in banking or financial services. Strong knowledge of regulatory requirements, including securities law (e.g., Reg AB), banking regulations (e.g., Reg W, Reg K), and GSE requirements, is essential, along with demonstrated expertise in state laws. Excellent analytical, communication, influencing, and relationship-building skills are required, as well as the ability to proactively identify and assess compliance risk.
Responsibilities
The Compliance Advisor Manager will serve as a key advisor and partner to Capital One’s businesses, Risk Offices, and other risk functions, providing expert advice on regulatory risk and working to mitigate compliance risk. They will develop and maintain strong relationships with business leadership, Legal, and Risk Office stakeholders, coordinating teams to achieve shared objectives and advising on business regulatory requirements. The role involves anticipating and identifying compliance risk scenarios, proposing mitigating solutions, providing effective challenge and guidance, and influencing adjustments to business policies and procedures. Additionally, the Compliance Advisor Manager will lead compliance training, assess operational breakdowns for compliance risk, and facilitate the assessment and advising on changes in law and regulations.
Skills
Reg AB
Reg W
Reg K
GSE requirements
Securities Law
Banking Regulations
Compliance Risk
Risk Assessment
Communication
Relationship Building
Influence
Regulatory Change
Capital One
Offers diverse financial products and services
About Capital One
Capital One provides a variety of financial services aimed at making banking accessible and easy for everyone. The company offers products such as credit cards, savings accounts, car loans, and business checking accounts, catering to both individual consumers and small businesses primarily in the United States. Capital One's approach includes user-friendly banking solutions with no fees or minimums for checking accounts, allowing customers to manage their finances more effectively. They generate revenue through interest on loans, credit card fees, and investment banking services. What sets Capital One apart from its competitors is its strong commitment to financial inclusion and literacy, demonstrated through community partnerships and educational initiatives, such as collaborations with Khan Academy. The company's goal is to create a more inclusive financial system and empower customers with the knowledge and tools they need to make informed financial decisions.
Key Metrics
McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees