Compliance Advisor Manager- Retail & Direct Bank

802 Delaware Avenue (18052), United States of America, Wilmington, Delaware

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Compliance Advisor Manager- Retail & Direct Bank

The Compliance Advisor Manager will join a team of compliance advisors who support the Retail and Direct Bank and ensure activities within Capital One's branches, cafes, and related call centers comply with all applicable laws, regulations, and supervisory guidance. A successful Compliance Advisor Manager is a highly motivated, forward thinking self-starter who can work autonomously, is technologically adept, and a problem solver. The Compliance Advisor Manager is responsible for delivering quality results, providing sound compliance advice to business lines as a subject matter expert, and executing against the responsibilities outlined below.

Specific Responsibilities:

  • Analyze new business initiatives for potential compliance risk, identify risk mitigation activities, and ensure business remains within approved compliance risk appetite;
  • Exercise sound judgment to effectively assess and balance risk when providing compliance advice to the business;
  • Maintain expert knowledge of applicable laws, regulations and supervisory guidance, keeping up with and advising the business on current and emerging developments;
  • Regularly interact with business partners and risk management colleagues, both 1:1 and in group settings, to influence processes, procedures, and controls;
  • Provide guidance on controls over regulatory requirements and business line monitoring of those controls;
  • Assess the impact and potential compliance risk exposure of operational breakdowns or findings, including customer complaints, and advise business during remediation; and
  • Identify trends in internal and external compliance data and proactively advise on identified risks.


The ideal candidate will possess:
  • A strategic, action-oriented style that can deliver solutions, even in ambiguous situations;
  • Demonstrated ability to quickly adapt in a fast-paced and fluid environment;
  • Highly developed interpersonal and communications skills coupled with the ability to influence others to reach agreement and catalyze change;
  • The ability to work as a team player and build strong relationships with associates across functions, departments, and levels;
  • Ability to balance operating independently with appropriate escalation and interaction with leadership; and
  • The highest ethical standards and unwavering integrity.


Basic Qualifications:
  • Bachelor's Degree or Military experience
  • At least 5 years of compliance risk management, risk management, legal, or audit experience


Preferred Qualifications:
  • Master's Degree
  • At least 7 years of compliance risk management, risk management, legal, and/or audit experience
  • Certified Risk Professional (CRP) or Certified Regulatory Compliance Manager (CRCM)


At this time, Capital One will not sponsor a new applicant for employment authorization for this position.


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