Compliance Advisor III
Bestow$81,000 - $95,000/year
Full Time
Mid-level (3 to 4 years), Senior (5 to 8 years)
Manager, Compliance Advisory | Enterprise Services (Brand Marketing, Workplace Solutions, Americans with Disabilities) at Capital One
Richmond, Virginia, United States
Not SpecifiedCompensation
Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Banking, Financial ServicesIndustries
Requirements
- Bachelor’s degree or military experience
- At least 3 years of experience working in compliance, risk management, or legal
- At least 1 year of experience working with discrimination laws and regulations
- Detailed knowledge of legal, regulatory, policy and compliance requirements and their applicability to supported functions
- Passion to develop and manage collaborative relationships to effectively influence individuals at all levels
- Comfortable representing dissenting opinions with senior leaders and challenging as needed
- Preferred Qualifications
- Juris Doctor
- 6+ years of experience in compliance, legal, or risk management within a Financial Services organization
- 2+ years of experience working with the Americans with Disabilities Act
- Proven track record of partnership with cross-functional colleagues to drive continuous improvement
- Ability to [text cuts off, but implies strong advisory and integration skills]
Responsibilities
- Perpetually stay abreast of relevant compliance and employment laws, practices, and issues affecting the business environment, both internally and externally
- Serve as a trusted advisor to lines of business to identify, document, and effectively mitigate compliance risks
- Develop innovative approaches in coordination with stakeholders across a variety of roles (e.g., Risk Management, Legal, Audit) to maintain the highest risk and compliance management standards while enabling business growth, profitability, and competitive success
- Coordinate across business, risk, and compliance teams to meet requirements outlined in the Compliance Management Program
- Assess people, process, and infrastructure breakdowns for regulatory impact
- Perform independent compliance risk assessments and document results for contribution in senior management level reporting
- Review 1st Line compliance monitoring results and periodically validate that monitoring processes/methods are designed and operating effectively
- Represent Compliance through active participation on project teams by providing compliance expertise, advocacy, and role model leadership
Skills
Key technologies and capabilities for this role
Questions & Answers
Common questions about this position
What is the employment type for this position?
This is a full-time position.
Is this role remote or does it require office work?
This information is not specified in the job description.
What key skills are needed for this compliance advisory role?
Success requires providing practical compliance guidance in a clear, solution-oriented manner, being a self-starter with an entrepreneurial mindset, staying abreast of compliance and employment laws, and performing independent risk assessments.
What is the company culture like at Capital One?
Capital One nurtures a work environment where people with diverse thoughts, ideas, and backgrounds, guided by shared Values, come together to make it a great company and place to work.
What makes a strong candidate for this role?
A strong candidate is a self-starter with an entrepreneurial mindset who can identify future risks, integrate seamlessly into business lines, and provide solution-oriented compliance guidance while partnering across teams.
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.
McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees
Benefits
Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program
Risks
Increased competition in subscription management tools may dilute Capital One's advantage.
Over-reliance on partnerships could expose Capital One to technological risks.
Departure of key personnel like Joe Rodriguez may affect risk management continuity.
Differentiation
Capital One offers user-friendly banking with no fees or minimums for checking accounts.
The company partners with Khan Academy to provide financial literacy education.
Capital One is the first major U.S. bank to offer subscription management tools.
Upsides
Capital One's mobile app is a model for secure, user-friendly digital banking.
Data sharing with Worldpay enhances payment security and fraud prevention.
Partnerships with fintechs like Minna Technologies improve customer experience.
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