Compliance Advisor Senior Manager

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

Compliance Advisor Senior Manager - Capital One Software

Ever since our first credit card customer in 1994, Capital One has recognized that technology and data can enable even large companies to be innovative and personalized. As one of the first large enterprises to go all-in on the public cloud, Capital One needed to build cloud and data management tools that didn’t exist in the marketplace to enable us to operate at scale in the cloud. And in 2022, we publicly announced Capital One Software and brought our first B2B software solution, Slingshot, to market.

Building on Capital One’s pioneering adoption of modern cloud and data capabilities, Capital One Software is helping accelerate the data management journey at scale for businesses operating in the cloud. Capital One Software will continue to explore where we can bring our solutions to market to help other businesses address these same needs going forward.

We are seeking top tier talent to join Compliance to support Capital One Software. You will be supporting a team of innovative product, tech, and design leaders as a trusted advisor to ensure business activities are performed in compliance with laws and regulations.   While working within the Compliance Management Program framework, you are responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes, all within a fast-moving environment.

Responsibilities:

• Identify trends and proactively advise on identified external and internal regulatory risks

• Maintain subject matter expertise of applicable laws and regulations, both domestic and international

• Evaluate Internal Audit, Regulatory Exam, and self-identified issues/problems for compliance impacts as needed

• Advise Capital One Software on application of Compliance requirements in scenarios such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or regulation

• Assist in Software in the development, maintenance, and maturity of their Compliance Management Program, and maintain expert understanding of the Compliance Management Program elements

• Support line of business through expert advice and influencing adjustments to the processes, procedures, and controls

• Identifying areas where existing Capital One risk frameworks may not be working for Software, and championing changes at the enterprise level

• Educating the business on Compliance Management Program activities and serving as a change management champion to drive a culture of compliance 

• Perform risk assessments as defined under the Enterprise Risk Management Policy (e.g. RCSA, PLA, PRA, and LAUNCH)

• Help identify compliance testing opportunities for supported area(s) 

• Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

• Contribute to management reports such as Monthly Business and Quarterly Compliance Reviews 

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 3 years of experience in compliance

Preferred Qualifications:

• Bachelor’s Degree

• 7+ years of experience in compliance, legal, risk management, or process management experience 

• Experience supporting software areas, business to business commercialization, or familiarity with cloud computing concepts

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 [email protected]. 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 [email protected]

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).