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Senior Investing Compliance Associate - Regulatory Relations

Capital One


Location:
McLean, VA
Date:
04/27/2017
Job Code:
capitalone2-R13882
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Job Details

Company Capital One

Job Title: Senior Investing Compliance Associate - Regulatory Relations

JobID: capitalone2-R13882

Location: McLean, VA, 22106, USA

Description: 1750 Tysons (12023), United States of America, McLean, Virginia



At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.



Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.



Senior Investing Compliance Associate - Regulatory Relations



**Title:** **Senior Investing Compliance Associate - Regulatory Relations**



**Level:** Sr. Associate



**Job Description:**



The Senior Investing Compliance Associate performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Compliance Advisor II is responsible for delivering quality results, providing compliance advice to the business, and executing or participating in corporate processes.



**With limited managerial supervision, the Compliance Advisor will support the business by:**

-Providing input on business regulatory requirements;

-Providing guidance on business policies, standards, and procedures;

-Participating in department training, as appropriate;

-Providing compliance advice on projects, as directed;

-Providing guidance on controls over regulatory requirements and line of business monitoring of those controls, as directed;

-Performing targeted tests on lines of business controls and provide guidance on identified risks, as directed



**Responsibilities:**

-Under managerial supervision, provide effective challenge and guidance on compliance risks and support the business through various interactions and forum engagements

-Advise on application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation

-Advise on the development and maintenance of the Compliance Program, such as how to monitor, report, and train

-Support the business by providing advice, influence adjustments to the processes, procedures, and controls

-Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary

-Conduct targeted validations on controls over applicable regulations

-Involvement with compliance testing and third party compliance, as directed

-Maintain understanding of Compliance Risk Management Framework and applicable laws and regulations

-Identify trends in data produced by lines of business

-Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management

-Actively participate on projects through providing guidance, advise, and effective challenge

-Participate in reporting activities, as directed

-Flexibility to travel to various Capital One locations as necessary



**Basic Qualifications:**

-High School Diploma, GED or equivalent certification, or Military experience

-At least 2 years of experience working in a compliance role for a broker-dealer, or at least 2 years compliance experience working for an investment adviser, or at least 2 years of compliance experience working for a securities regulator (FINRA/SEC)

-Proficiency in Microsoft Office



**Preferred Qualifications:**

-Bachelor’s Degree

-3 years of supervision, or 3 years of compliance, or 3 years of surveillance experience in the securities industry

-FINRA Series 7, or Series 24, or Series 63/65 licenses



**At this time, Capital One will not sponsor a new applicant for employment authorization for this position.**



At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.                                               


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