Manager - Corporate Compliance - Finance

NYC 299 Park Avenue (22957), United States of America, New York, New York

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.

Manager - Corporate Compliance - Finance

Manager - Corporate Compliance - Finance

Location: New York, NY or McLean, VA

Summary: Corporate Compliance is seeking a Manager to help develop and support Capital One's Finance group. Finance is responsible for executing the overall financial management of the Capital One, including treasury operations, capital analysis and reporting, balance sheet management, corporate development, tax filing and strategy, line of business and top of house financial planning and management reporting, accounting and external reporting, and investor relations. Finance's objective is to provide value to our business partners and enterprise leadership while ensuring an effective and flexible control environment. The Compliance Manager will support the creation, management, and oversight of a robust Compliance Management Program ("CMP") supporting critical Finance areas that pose unique regulatory risk. The successful candidate will be self-starting and entrepreneurial, seeing around corners to identify tomorrow's risks, and able to integrate themselves seamlessly into existing and emerging business lines. The Manager will leverage strong analytical thinking and regulatory reporting skills to ensure all components of the CMP are in place and operating effectively for the corporate areas that the group is responsible. Additionally, the Manager will leverage strong leadership and influencing skills to engage the business and Business Risk Office ("BROs") to create and maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk. Additional duties include developing and administering unique processes related to managing a federated Compliance model across multiple 2nd line groups (e.g., Market Liquidity Risk Oversight, Capital Management) that support Finance.

Here's how you'll operate:

  • Serve as a credible business advisor and partner representing the Compliance organization to the Finance business teams, BRO and other 2nd line groups
  • As part of a new Compliance advisory team, assess, enhance and execute the requirements of the CMP for Finance
  • Maintain subject matter expertise in applicable laws, regulations, and regulatory guidance
  • Develop and leverage strong relationships with business leadership, Legal, BRO, and other stakeholders
  • Coordinate with cross-functional teams to accomplish shared objectives
  • Support the management and manage tracking and reporting of compliance issues across a range of forums
  • Anticipate, identify and escalate risk scenarios early and propose potential mitigations
  • Create and monitor ongoing engagement model with certain 2nd line groups to ensure Capital One's compliance with applicable law, regulations, policies and procedures


Basic Qualifications:
  • Bachelor's Degree or Military experience
  • At least 5 years of experience in compliance, legal, audit, or risk management at a bank or a financial institution


Preferred Qualifications:
  • Juris doctor/law degree
  • At least 7 years of previous experience in Banking / Financial Services in a compliance or risk management role
  • Proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrix organization
  • Possess understanding of Corporate Treasury function.
  • Ability to read and interpret regulations, and advise the business
  • Results-oriented, hard-working, curious and comfortable with frequent change
  • Possess judgment to analyze, evaluate, develop and effectuate solutions to complex problems
  • Team player with creativity, resourcefulness, ambiguity and strong interpersonal skills
  • Proven track record of successfully delivering results in a fast-changing and matrixed environment
  • Familiarity with and the ability to develop a thorough working knowledge of banking laws and regulations (e.g., '33 and '34 Act, Regulation AB, Regulation W)
  • Self-starter that's willing to operate with minimum amount of supervision.
  • Strong organizational, writing and communication skills.
  • Experience managing internal and regulatory reporting.


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


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