Full-Time

Compliance Director

Lending & Finance

Confirmed live in the last 24 hours

Capital One

Capital One

10,001+ employees

Offers diverse financial products and services

Fintech
Social Impact
Financial Services

Compensation Overview

$202.4k - $231kAnnually

+ Performance-based incentive compensation + Cash bonuses + Long-term incentives

Senior

No H1B Sponsorship

McLean, VA, USA + 2 more

More locations: Richmond, VA, USA | New York, NY, USA

New York City is hybrid on-site.

Category
Legal
Risk & Compliance
Legal & Compliance
Requirements
  • Bachelor’s Degree or military experience
  • At least 8 years of experience in compliance, legal, audit or risk management within financial services
  • At least 7 years of experience supporting, partnering or interacting with internal business clients
  • Juris Doctor (J.D.) or Master’s Degree (preferred)
  • Certified Regulatory Compliance Manager (CRCM) or Certified Information Privacy Professional (CIPP) (preferred)
  • 10+ years of experience in Commercial Banking or Capital Markets (preferred)
Responsibilities
  • Serve as a credible business advisor and partner representing the Compliance organization to Commercial Banking Lending and Finance
  • Lead a team of Compliance Advisors as they support specific areas within Commercial Banking Lending and Finance
  • Advise on regulatory and Compliance topics and coordinate with horizontal Compliance teams (AML, Privacy, Fair Lending)
  • Develop Compliance policies to address corporate and regulatory requirements
  • Maintain subject matter expertise in applicable laws, regulations, and regulatory guidance (e.g., SEC Reg AB, FRB Reg B, FRB Reg K, FRB Reg W)
  • Identify and investigate potential rule breaches, escalate issues and coordinate corrective actions with business and control functions, as needed
  • Assist in the development and administration of Compliance training
  • Provide Compliance input and review new business initiatives, assessing compliance and regulatory risks and proactively identifying potential issues related to the new products/services
  • Maintain key relationships with business leadership as well as Legal, Risk Management, and other stakeholders
  • Coordinate with cross-functional teams to accomplish shared objectives
  • Support the management of issues with the business and risk office as they arise
  • Anticipate, identify and escalate risk scenarios where needed and propose potential mitigations
  • Liaise with internal audit and assist on regulatory exams

Capital One offers a range of financial services, including credit cards, savings accounts, car loans, and business checking accounts, primarily in the United States. The company focuses on user-friendly banking solutions with no fees or minimums, making it easier for customers to manage their money. Capital One stands out from competitors with its commitment to financial inclusion and literacy, partnering with organizations to provide educational resources. The goal is to create a more accessible financial system for everyone.

Company Stage

IPO

Total Funding

$15.9M

Headquarters

McLean, Virginia

Founded

2014

Simplify Jobs

Simplify's Take

What believers are saying

  • Partnership with Minna Technologies enhances customer experience with subscription management tools.
  • Collaboration with Worldpay improves payment security and efficiency for merchants.
  • Capital One's financial empowerment initiatives support community financial stability programs.

What critics are saying

  • Increased competition in subscription management tools may dilute Capital One's first-mover advantage.
  • Departure of key personnel like Joe Rodriguez could affect risk management oversight.

What makes Capital One unique

  • Capital One offers user-friendly banking with no fees or minimums for checking accounts.
  • The company emphasizes financial inclusion through community partnerships and philanthropic efforts.
  • Capital One's mobile app is a model for secure, user-friendly digital banking.

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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