Regulatory Compliance Specialist

7 days ago


Richmond, Virginia, United States Capital One Full time

At Capital One, we are seeking a Compliance Manager to play a critical role in advising our Commercial lending businesses on regulatory compliance and risk management.

Key Responsibilities:
  • 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
Requirements:
  • Bachelor's Degree or military experience
  • At least 3 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


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