Principal Compliance Specialist, Regulatory Affairs

2 weeks ago

Toronto, Canada Capital One Full time

161 Bay Street (93021), Canada, Toronto,Toronto, Ontario,

Principal Compliance Specialist, Regulatory Affairs

**Principal Compliance Specialist, Regulatory Affairs Office, Canada Compliance**

**Our Capital One Compliance** **Team.**

Yes, we’re a credit card company. But we’re more than that too. We’re driven by what our customers want, and how to make their lives simpler.

We’re always looking for creative ways to offer digital solutions that make sense for our customers. With your help, we’ll build the next generation of banking in Canada based on customer-focused values, compelling products and great engineering.

**Working with us**

How do we do things at Capital One Canada? We listen — to our people, and to our customers. We change with the times and have adopted a flexible hybrid model (remote and/or in-office). A flexible hybrid working model is one that creates the opportunity to match the work that we do to the environment that best supports that work. We recognize that everyone has a unique working pattern so we’re open to discussing flexible working arrangements that will best accommodate you.

At Capital One we’re committed to diversity, inclusion and belonging. We strive to build a culture where diverse perspectives are valued, innovative ideas are encouraged and inclusive behaviours are embedded in everything we do to positively impact associates. Strive to build a culture where diverse perspectives are valued, innovative ideas are encouraged and to help challenge the status quo and create the best outcomes for everyone.

We’re focused on helping associates live well—physically, financially and emotionally. When you join us, we support you and those who are most important to you, offering full coverage for spouses, domestic partners, and dependents. We’ve designed our benefits program to be flexible, comprehensive and consistent across our organization. From health and fitness center discounts, to training and professional development programs—and much more—you’ll discover that Capital One is committed to helping you live your best life.

**A day in the life of a Capital One** **Principal Compliance Specialist.**

Capital One is seeking a Principal Compliance Specialist to join our Compliance team in downtown Toronto. As a member of the Regulatory Affairs team, the Principal Compliance Specialist will support the day-to-day compliance of the Canada Branch from a second line perspective. You will join a team of compliance professionals focused on governance and reporting, including the development, implementation, and maintenance of policies and procedures, creation and maintenance of dashboards and metrics, and the production of various monthly and quarterly reports. You will also support communication with regulators and internal audit, and the implementation of new products and regulatory initiatives.

**Role and Responsibilities**
- Develop and maintain a solid understanding of the legal and regulatory requirements applicable to Capital One Bank (Canada Branch), as well as Capital One’s corporate compliance and risk management policies, standards, procedures, controls, and related systems;
- Stay current on compliance trends, best practices, and guidelines issued by applicable regulatory bodies and the industry, monitor evolving laws and regulations to understand their impact on the Business, and support the analysis and implementation of required changes;
- Engage with Business and other cross-functional stakeholders to understand, report on, and monitor the remediation of reportable compliance issues and other compliance matters;
- Draft and maintain relevant policies and procedures, and oversee their implementation and updating as needed;
- Create and maintain reporting dashboards, ensuring they are complete and up-to-date and accurately reflect the state of compliance;
- Prepare high quality compliance reports through data gathering and analysis and liaising with Business partners, and create narratives that provide clear and concise information and insights into compliance-related performance;
- Understand expectations from external stakeholders such as auditors and regulators, and participate in and provide materials for audits, risk reviews, and regulatory examinations;
- Maintain appropriate documentation for all activities in accordance with Enterprise standards and audit requirements;
- Identify opportunities for enhancing compliance practices and work collaboratively with the team and partners to drive improvements;
- Participate in, lead, and/or execute other Compliance initiatives as assigned.

**Basic Qualifications**
- University degree in a relevant discipline such as Finance, Business, Law, or a related field
- Demonstrable knowledge of financial products, services, and operations as well as risk management frameworks
- At least 5 years of experience in a Compliance or Risk Management role, including drafting policies and procedures, and in

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