Capital One
Compliance Director, Lending & Finance
Capital One, Richmond, Virginia, United States, 23214
Center 1 (19052), United States of America, McLean, VirginiaCompliance Director, Lending & Finance
Corporate Compliance is seeking a Director to join our Commercial Banking Lending and Finance Compliance Advisory team. The Compliance Director will provide compliance advice regarding business strategy and new products/initiatives to leaders in Commercial Banking Lending business, which includes Corporate Banking and Commercial Real Estate/Agency Financing. This Director is responsible for the management and oversight of a robust Compliance Management Program (CMP).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 Director will leverage strong analytical thinking skills to ensure all components of the CMP are in place and operating effectively with respect to the business areas for which the team is responsible.Specific responsibilities include, but are not limited to, the following: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.Basic Qualifications: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.Preferred Qualifications:Juris Doctor (J.D.) or Master's Degree.Certified Regulatory Compliance Manager (CRCM) or Certified Information Privacy Professional (CIPP).10+ years of experience in Commercial Banking or Capital Markets.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.New York City (Hybrid On-Site): $202,400 - $231,000 for Director, Compliance.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.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.
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Corporate Compliance is seeking a Director to join our Commercial Banking Lending and Finance Compliance Advisory team. The Compliance Director will provide compliance advice regarding business strategy and new products/initiatives to leaders in Commercial Banking Lending business, which includes Corporate Banking and Commercial Real Estate/Agency Financing. This Director is responsible for the management and oversight of a robust Compliance Management Program (CMP).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 Director will leverage strong analytical thinking skills to ensure all components of the CMP are in place and operating effectively with respect to the business areas for which the team is responsible.Specific responsibilities include, but are not limited to, the following: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.Basic Qualifications: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.Preferred Qualifications:Juris Doctor (J.D.) or Master's Degree.Certified Regulatory Compliance Manager (CRCM) or Certified Information Privacy Professional (CIPP).10+ years of experience in Commercial Banking or Capital Markets.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.New York City (Hybrid On-Site): $202,400 - $231,000 for Director, Compliance.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.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.
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