Director, Compliance Advisory

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

Director, Compliance Advisory

**Our Capital One **Compliance Advisory **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.

As Director, Compliance Advisory, you will bring together leadership, compliance expertise, and relationship management to help our technology-focused business be dynamic and well-controlled. You will lead a team that provides expert advice to the business on regulatory matters. You thrive in an agile, fast-paced environment and have a strong background in financial industry regulations. You are a strong relationship builder who has experience with influencing and consulting with a diverse group of business leaders and corporate stakeholders.

**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. Associates working in the hybrid model are expected to come into the office 3 days a week across Tuesdays and Thursdays, reserving Mondays and Fridays as company-wide virtual days. As was true before the pandemic, expectations of being in the office will be balanced with personal life flexibility. 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** Director, Compliance Advisory.**

**Responsibilities**:

- Lead the Compliance Advisory team, which is responsible for providing expert compliance advice on business initiatives and processes;
- Provide advice on regulations impacting new and existing products;
- Provide advice and guidance to the business on the implementation of regulatory changes;
- Lead the completion of risk assessments under the Enterprise Risk Management Framework, including regulatory applicability assessments;
- Create and track Compliance-led training;
- Provide Compliance support with third party contracts;
- Support the Deputy Chief Compliance Officer, as a liaison with Canadian regulators, including OSFI and the FCAC, and, where applicable, US regulators;
- Evaluate new ventures, products, services, and marketing initiatives for Compliance risk, and advise leadership on mitigation strategies;
- Understand expectations from external entities, such as auditors and regulators, and partner with the Canadian Bankers’ Association and other industry trade associations to represent the views of Capital One Canada;
- Manage team of compliance advisors to bring the latest thinking to compliance monitoring, reporting, and escalation;
- Create, review, and amend policies designed to mitigate compliance risk; and
- Effectively manage a team of Compliance professionals with an emphasis on career development for the team members.

**More details on the scope of the position**:

- Identify emerging regulatory risks;
- Driving changes to ensure risks are appropriately mitigated and compliance oriented processes remain effective;
- Ensure Compliance associates remain current on regulatory changes, continuously develop their skills, meet Compliance Management Program (CMP) expectations, and provide effective business support and challenge;
- Ensure effective development, management, and execution of all applicable aspects of the CMP for Capital One Canada, including system of record governance, applicability of laws and regulations, oversight of business implementation of new laws and regulations, and support of Issue and Event management; and
- Perform other related work as assigned by the Deputy Chief Compliance Officer or other Compliance leaders.

**Bas