Compliance Advisory Manager
1 month ago
1307 Walt Whitman (22600), United States of America, Melville, New York
Compliance Advisory Manager
The Capital One Retail Bank Compliance team is seeking a Compliance Advisor Manager with a passion for advising and collaborating with business partners to mitigate consumer compliance risk and to take care of our customers. The Manager will join our Retail Bank Compliance team and act as a critical partner in the planning and execution of business initiatives and products to ensure compliance with federal and state consumer laws and regulations. The Manager will use their relationship building, expertise, and communication skills to analyze risks and drive actions that sustain business objectives and processes in a well-managed and compliant way. A successful Manager in this role will be highly self-motivated and possess a growth mindset, as well as be forward-thinking about the evolution of the consumer banking regulatory environment, technologically adept, and a keen problem solver.
**Responsibilities**
- Provide guidance and effective challenge to our Retail Bank business on consumer compliance risks
- Develop strong working knowledge of business products, services, processes, and strategy
- Communicate with and support business leaders through one-on-one and group/project interactions
- Execute risk assessments and independently evaluate the effectiveness of the business’s risk mitigation actions
- Advise the business on the development of effective consumer compliance controls and monitoring, and steps to take to comply with changes in consumer banking laws and regulations
- Closely follow emerging consumer banking trends, including the development of new laws and evolving emerging risks
- Actively engage in problem solving and knowledge sharing with others within the Compliance and Legal departments
- Participate in and support Compliance senior leadership with risk reporting and regulatory engagements
- A focus on results and achieving short
- and long-term goals
- A proven track record of supporting and working across groups and functions and with a senior management team
- Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry
- Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team
- Highly developed interpersonal, presentation, and communications skills (written and oral)
- Strategic influencing skills, with the ability to build understanding and agreement among diverse groups
- Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues
- Strong project management, process management, and organizational skills
- Ability to balance operating independently with appropriate escalation to and interaction with senior leadership
**Basic Qualifications**:
- Bachelor’s Degree or military experience
- At least 4 years of experience in compliance, legal, risk management, or audit
- At least 3 years of experience supporting, partnering, and interacting with business clients
**Preferred Qualifications**:
- Juris Doctor or Master’s Degree
- 5+ years of experience in compliance, legal, risk management, or audit
- Experience in the financial services industry
- CRCM (Certified Regulatory Compliance Manager) certification
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
New York City (Hybrid On-Site): $147,800 - $168,700 for Compliance Advisor Manager
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 the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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).
We have other current jobs related to this field that you can find below
-
Manager - Federal Tax
5 hours ago
Melville, United States True Partners Consulting Full timeJob DescriptionJob DescriptionJob Description: About True Partners ConsultingWhen it comes to careers in tax and business advisory services, True Partners Consulting (TPC) is clearly different. TPC is an independent tax and business advisory firm delivering technical expertise and exceptional service in the areas of tax and financial reporting to Fortune...
-
Safety Manager- OHST or CHST ONLY
1 month ago
Melville, United States Safety Consulting & Compliance Corp. Full timeJob DescriptionJob DescriptionResponsibilities:In addition to being able to function effectively as part of a team, a successful applicant will need to:Develop and implement Task-Specific Safe Work Plan (SWP) and Toolbox Talks.Implement the Site-Specific Health and Safety Plan (SSHASP)Ensure that all Federal, State and local safety and health regulations are...
-
Compliance Assistant
4 weeks ago
Melville, United States US Mortgage Corporation Full time**Overview**: **Duties**: 1. HMDA Management - review and correction of errors for submission monthly 2. Assist and provide backup to Chief Compliance Officer on any State or External Audits, Quarterly NMLS Call Reports and Onboarding of New Hires as needed. 3. Complete OFAC reviews as per written procedures as needed. 4. Background checks for New...
-
Compliance Analyst
4 weeks ago
Melville, United States AIDS Healthcare Foundation Full time**AMAZING INDIVIDUALS WORKING FOR POSITIVE PEOPLE at AIDS Healthcare Foundation!** Does the idea of doing something that really makes a difference in people’s lives while being well-compensated intrigue you? Are you looking to work for an organization that encourages growth and success from each and every one of its employees? **If so, AIDS Healthcare...
-
Compliance Specialist II
2 weeks ago
Melville, New York, United States AmTrust Financial Full timeCompliance Specialist IIJob LocationsUS-CTSouthington | US-United StatesRequisition ID CategoryCompliancePosition TypeRegular Full-TimeOverviewThe ideal candidate will have 5 or more years' progressive experience as a product/filing analyst handling core commercial lines business. Candidate will have expertise with ISO, NCCI, SERFF, AAIS and with various...
-
Tax Manager
3 days ago
Melville, United States Verrus Full timeCurrently hiring a Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the “Top 100” accounting firms by Accounting Today and has been a consistent “Top 100” firm in the...
-
Senior Tax Manager
3 days ago
Melville, United States Verrus Full timeCurrently hiring a Senior Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the “Top 100” accounting firms by Accounting Today and has been a consistent “Top 100” firm...
-
CORP - Director of Government Compliance
1 month ago
Melville, United States Comtech Telecommunications Corp Full timeJob Title: Director, Government Compliance Department: Accounting & Finance Reports To: Global Controller Revision Date: 04/03/2024 Location: (Mellville, NY. Chandler, AZ. Orlando, FL.) Company Overview Comtech Telecommunications Corp. is a leading global technology company providing terrestrial and wireless network solutions, next-generation 9-1-1...
-
Tax Manager
1 week ago
Melville, United States Verrus Full timeCurrently hiring a Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the Top 100 accounting firms by Accounting Today and has been a consistent Top 100 firm in the INSIDE...
-
Tax Manager
7 days ago
Melville, United States Verrus Full timeCurrently hiring a Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the “Top 100” accounting firms by Accounting Today and has been a consistent “Top 100” firm in the...
-
Tax Manager
1 week ago
Melville, United States Verrus Full timeCurrently hiring a Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the “Top 100” accounting firms by Accounting Today and has been a consistent “Top 100” firm in the...
-
Senior Tax Manager
1 week ago
Melville, United States Verrus Full timeCurrently hiring a Senior Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the Top 100 accounting firms by Accounting Today and has been a consistent Top 100 firm in the...
-
Fast-Track Management Partner
4 days ago
Melville, United States New York Life - Carpio Team Full timeJob DescriptionJob DescriptionWe’re looking for driven and motivated leadership-oriented individuals to join our Management Career Path. In this career, you’ll have the opportunity to accelerate your path to management and advance within 6-12 months. Our ideal candidate is a dynamic and creative thinker with experience in any capacity of sales and are...
-
Tax Senior Manager, Trust
1 month ago
Melville, United States EisnerAmper Full timeJob Description At EisnerAmper, we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love from top to bottom - we give you the tools you...
-
Senior Tax Manager
3 days ago
Melville, United States Verrus Full timeCurrently hiring a Senior Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the “Top 100” accounting firms by Accounting Today and has been a consistent “Top 100” firm...
-
Senior Tax Manager
1 week ago
Melville, United States Verrus Full timeCurrently hiring a Senior Tax Manager for a multidisciplinary financial services firm that offers services across a wide range of tax, accounting, audit, business advisory, valuation, financial planning, wealth management, and support services. Firm ranked in the “Top 100” accounting firms by Accounting Today and has been a consistent “Top 100” firm...
-
Tax Senior Manager Real Estate
2 weeks ago
Melville, United States EisnerAmper Full timeJob Description At EisnerAmper, we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love from top to bottom - we give you the tools you...
-
Tax Senior Manager, Trust
2 weeks ago
Melville, United States EisnerAmper Full timeJob Description At EisnerAmper , we look for individuals who welcome new ideas , encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love from top to bottom - we give you the tools you...
-
Tax Director
1 month ago
Melville, United States EisnerAmper Full timeJob Description Tax Director- Private Client Services (PCS) At EisnerAmper, we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love...
-
Tax Senior Manager Real Estate
1 week ago
Melville, United States EisnerAmper Full timeJob Description At EisnerAmper , we look for individuals who welcome new ideas , encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love from top to bottom - we give you the tools you...
