Senior Manager, Compliance Advisory
2 weeks ago
Senior Manager, Compliance Advisory
Our Capital One Compliance Team.
For over 20 years, we've been on a mission to change banking for good and build relationships by making credit accessible, simple, intuitive and rewarding. We want to help Canadians succeed with credit, because we believe in people — in our customers, in our associates, and in talent like you
As a Manager, Compliance, you will be responsible for providing regulatory advice and effectively collaborating with business stakeholders to ensure our business strategies, plans and initiatives are executed and delivered in compliance with governing regulations, internal policies and procedures. The incumbent should be comfortable working in a fast-paced and highly regulated environment. Key areas of responsibility include the development, implementation and management of compliance programs and processes.
Working with us
Enjoy a hybrid work environment, with 3 days in the office. Build a comfortable workspace with our one-time, Work From Home allowance and enjoy our head office located conveniently across the street from Union Station.
Live well—physically, financially and emotionally. Receive support for you and those who are most important to you, with full coverage for spouses, domestic partners, and dependents. With up to $3000 in mental health coverage and up to $5000 in tuition subsidies per year—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 Senior Manager, Compliance Advisory.
Responsibilities:
- Advising business unit stakeholders on the application of regulatory requirements for new products, business initiatives and processes.
- Providing effective review and challenge to processes and results; driving customer-focused solutions.
- Advising on new and amended regulations, emerging issues, voluntary codes of conduct and public commitments to business unit stakeholders.
- Reviewing and analyzing potential exceptions with business groups and advise on remediation/corrective actions.
- Identify potential control weaknesses and make recommendations to strengthen the control environment.
- Understand expectations from external entities such as auditors and regulators, and partner with business on ensuring compliance.
- Preparing reports and working with senior management to respond to inquiries and examinations involving regulators and auditors.
- Develop and maintain comprehensive documentation to support knowledge management and audit requirements.
Basic Qualifications:
- Bachelors' Degree.
- At least 7 years of experience working in compliance, risk management, or a legal role within a financial institution.
- At least 7 years of experience working with Canadian banking legislation, laws, industry standards, and regulations as they apply to the financial services sector.
- At least 3 years of experience working with audit and regulatory exams.
- Proven record of innovation and process improvements.
- Ability to work in a fast-paced work environment with an ability to influence others.
Preferred Qualifications:
- Postgraduate degree in Business, Compliance / Risk, Law or other related fields.
- Good understanding of Bank Act and other consumer protection laws and regulations.
- Experience working with regulators (FCAC and OSFI).
- Bilingual (English and French).
Capital One Canada is an equal opportunity employer committed to fostering a diverse and inclusive work environment. We consider all qualified applicants and will meet the needs of those requiring reasonable accommodations.
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 ARCanada@capitalone.com. 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 Careers@capitalone.com.
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