Manager, Banking & CFC Governance ComplianceThe Manager, Banking & CFC Governance Compliance Associate is responsible for the oversight and management of processes required by the Compliance Management Program (CMP). The Governance Team supports the elements of the CMP and assists Advisors and Compliance Officers in meeting program requirements. This position will support the Advisors to review and assess processes, controls, and regulatory applicability for sufficiency of regulatory risk management.
Create and enhance reporting metrics for the Department
Responsible for the process and execution of monthly and quarterly Compliance reporting as well as Board Reporting on behalf of the Division.
Oversee the Issue and Event Management governance process including the monitoring of performance metrics to drive process improvements
Support efforts to develop a comprehensive training curriculum for the Bank’s Compliance Management Program within the department.
Support Audit and Exam related efforts driven by the Bank’s Compliance Management Program
Leverage reporting and ad hoc analysis to develop and communicate recommendations for improving processes and strengthening risk management practices
Manage the process and execution of applicability changes on behalf of Advisors.
Engage in Enterprise projects on behalf of the department i.e. PLA, FUSE
Basic Qualifications
Bachelor’s Degree or Military experience
At least 4 years of experience in financial services compliance
Preferred Qualifications
5+ years of experience in Bank Compliance
1+ year of experience in Compliance Testing or Governance within the financial services sector
Compliance or Risk Management Certifications (Certified Regulatory Compliance Manager, Certified Information Privacy Professional, Certified Anti-Money Laundering Specialist)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.Melville, NY: $159,400 - $181,900 for Compliance Advisor ManagerRichmond, VA: $132,800 - $151,600 for Compliance Advisor ManagerCandidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website (https://www.capitalonecareers.com/benefits) . 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] 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).