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Compliance Manager - Lending & Finance

BlueTarp Financial

BlueTarp Financial

Accounting & Finance, Legal
Melville, NY, USA
Posted on Monday, April 8, 2024


1307 Walt Whitman (22600), United States of America, Melville, New York Compliance Manager - Lending & Finance

Corporate Compliance is seeking a Compliance Advisor Manager to perform a key risk management role in the second line of defense advising Capital One’s Commercial lending businesses on applicable laws and regulations. The Commercial lending lines of business include Corporate Banking and Commercial Real Estate/Agency Financing and are responsible for providing banking services to business clients. Corporate Banking includes Middle Market Banking, Financial Institutions Group, Healthcare and Technology, Media, Telecom, Municipal Banking, and Energy. Commercial Real Estate provides balance sheet lending in addition to agency lending from Fannie Mae, Freddie Mac, and FHA. The Compliance Advisor Manager will support the businesses' compliance with applicable laws and regulations as they relate to the sales, underwriting, and portfolio management processes. In addition, as needs arise, the Compliance Advisor Manager will assist in the advisory of the Finance corporate function, which is responsible for executing overall financial management of Capital One and includes Corporate Treasury.

While working within the Compliance Management Program framework, the Compliance Advisor Manager is responsible for identifying, assessing, and providing expert advice on regulatory risk, and working with the lines of business and partners to mitigate compliance risk. The successful candidate will be an analytical thinker, self-starting, with strong communication, influencing, relationship building, and problem solving skills. The Compliance Advisor Manager will use these skills to drive actions that sustain business objectives and processes in a well-managed and compliant way.

Responsibilities include but are not limited to:

  • Serving as a credible advisor and partner representing the Compliance organization to the businesses, Risk Offices, and other independent risk functions

  • Developing and maintaining strong relationships with business leadership, Legal, Risk Office, and other stakeholders and coordinating with teams to accomplish shared objectives

  • Advising on business regulatory requirements including securities law (e.g, Reg AB), banking regulations (e.g., Reg W, Reg K), GSE requirements and state laws and maintaining subject matter expertise of applicable laws and regulations

  • Anticipating, identifying, and escalating compliance risk scenarios early and proposing potential mitigating solutions

  • Providing effective challenge and guidance on compliance risks and supporting the businesses through various interactions and forums including new initiatives

  • Providing guidance and influencing adjustments to business policies, standards, and procedures to mitigate compliance risk

  • Leading and reviewing compliance training, as appropriate

  • Providing guidance on controls over regulatory requirements and line of business monitoring of those controls

  • Assessing operational breakdowns for compliance risk and providing guidance on remediation/recovery plans

  • Assessing and advising on changes in law and regulations

  • Facilitating the engagement between businesses and horizontal Compliance partners in AML, Privacy, and Fair & Responsible Banking

  • Reviewing customer complaints and providing guidance on remediation

  • Advising and dispositioning findings identified by compliance testing

  • Supporting manager on regulatory exams and/or internal audits, as necessary

  • Maintaining expert understanding of compliance management program

Basic Qualifications:

  • Bachelor’s Degree or military experience

  • At least 3 years of experience in compliance, legal, or audit supporting commercial businesses

Preferred Qualifications:

  • Master’s Degree or Juris Doctor

  • 4+ years of experience in compliance, legal, or audit supporting commercial businesses

  • Familiarity with and the ability to develop a thorough working knowledge of banking and securities laws and regulations (Reg AB, GSE requirements, state banking laws, Regulation W, Regulation K, securities laws)

  • Ability to research, read and interpret regulations, and advise the business

  • Ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrix organization

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): $147,800 - $168,700 for Compliance Advisor Manager

Candidates 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 theCapital One Careers website. 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 RecruitingAccommodation@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

Capital 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).