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Capital One
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New Orleans, LA, USA
Hybrid
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Jobs//Hybrid//New Orleans, LA//Finance//

Compliance Manager - Lending & Finance

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Employer Provided Salary: 147,800-168,700 Annually
Salary data is provided by the employer. Please note this is not a guarantee of compensation.

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 the Capital 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 [email protected] . 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 [email protected]
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).

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Cynthia Puryear
Enterprise Supplier Management, Chief of Staff Office
A HARMONIOUS APPROACH
Refreshing takes priority here
Whether logging time with family or hitting the gym, Cynthia Puryear relishes the ability to take time off and feel rejuvenated in her role. What makes it happen? She credits a culture of understanding and flexibility, along with different resources (think: live exercise classes) that facilitate unplugging. “At the end of the day, it’s not one-size-fits-all, and I love that,” she said. For example, that could mean taking advantage of initiatives like “Invest In Yourself Days,” which Puryear enjoys using to read up on public relations industry material and concentrate on her own development.
Whether logging time with family or hitting the gym, Cynthia Puryear relishes the ability to take time off and feel rejuvenated in her role. What makes it happen? She credits a culture of understanding and flexibility, along with different resources (think: live exercise classes) that facilitate unplugging. “At the end of the day, it’s not one-size-fits-all, and I love that,” she said. For example, that could mean taking advantage of initiatives like “Invest In Yourself Days,” which Puryear enjoys using to read up on public relations industry material and concentrate on her own development.
Having work-life balance makes all the difference in the world. I find myself more refreshed, more rested and more creative, which all leads to me being a great contributor to my team.
Dave Rodgers
Unit Manager, Credit Card Division
SOLID SUPPORT
A considered approach to remote work
Remote work suits each individual differently. As a unit manager in the credit card division, Dave Rodgers finds the remote experience “very rewarding,” highlighting its benefits for collaboration, teamwork, work focus and problem-solving. And that environment supports more than just productivity. Rodgers said the company created the space to have open and substantive dialogue around social injustice over the past couple of years. “The level of vulnerability in sharing concerns and the willingness to listen created even closer relationships across teams,” he said.
Remote work suits each individual differently. As a unit manager in the credit card division, Dave Rodgers finds the remote experience “very rewarding,” highlighting its benefits for collaboration, teamwork, work focus and problem-solving. And that environment supports more than just productivity. Rodgers said the company created the space to have open and substantive dialogue around social injustice over the past couple of years. “The level of vulnerability in sharing concerns and the willingness to listen created even closer relationships across teams,” he said.
The success of working remotely is based on the culture that has been created and the technology that we have in place.
Renee McKeon
Vice President Experience Design
CREATIVE ENGAGEMENT
Connecting with customers and users
Renee McKeon is emphatic about ensuring people are poised to succeed as they create “iconic customer experiences” for both colleagues and customers. “The best way I can do this is to ensure I help bring out the best in my teams and ensure we’re having fun along the way,” McKeon said, detailing her leadership style as grounded in ingenuity, kindness and respect. And while her team has tallied plenty of wins thus far — like making improvements to Capital One’s Auto Navigator tool — the leader is amped up for the future: “I’m excited to build on our momentum and reach for the stars.”
Renee McKeon is emphatic about ensuring people are poised to succeed as they create “iconic customer experiences” for both colleagues and customers. “The best way I can do this is to ensure I help bring out the best in my teams and ensure we’re having fun along the way,” McKeon said, detailing her leadership style as grounded in ingenuity, kindness and respect. And while her team has tallied plenty of wins thus far — like making improvements to Capital One’s Auto Navigator tool — the leader is amped up for the future: “I’m excited to build on our momentum and reach for the stars.”
I believe in the good in people, and I want to cultivate that. I work to really see and hear people, and to help them make the most of their talents.

What are Capital One Perks + Benefits

Capital One Benefits Overview

At Capital One, we're committed to ensuring you and your family feel supported and cared for, and we know that your benefits play a large role in that support. Our goal is to provide a comprehensive and competitive set of benefits that offer the flexibility and choice to meet the diverse needs of all associates. We want each of you to Be Well physically, emotionally, and financially.

Culture
Volunteer in local community
Volunteer projects are encouraged and supported by Capital One through both traditional monetary contributions and flexibility to participate in associate-led initiatives.
Partners with nonprofits
Capital One’s philanthropy program provides grants to organizations that support education, financial literacy and community development, including affordable housing and small business development.
Open door policy
OKR operational model
Team based strategic planning
Pair programming
Open office floor plan
Flexible work schedule
Remote work program
Diversity
Documented equal pay policy
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity manifesto
Mean gender pay gap below 10%
Diversity employee resource groups
Business Resource Groups (BRGs) play an important role in attracting world-class talent, developing tomorrow’s leaders, engaging and retaining our diverse workforce and enhancing our workplace.
Hiring practices that promote diversity
Our professional recruiting teams focus on attracting underrepresented talent for our key business roles, including analyst, product, and tech roles across varied tactics and connection points.
Health Insurance + Wellness
Flexible Spending Account (FSA)
Capital One offers two flexible spending accounts (FSAs) – a Health Care FSA and Dependent Care FSA – administered by Anthem.
Disability insurance
Capital One automatically provides full-time associates with Short-Term Disability and Basic Long-Term Disability coverage at no cost. You have the option to purchase Supplemental Long-Term Disability
Dental insurance
Capital One offers coverage through Delta Dental to help you maintain your smile through regular preventive care and treatment for any dental problems that may arise.
Vision insurance
To help you keep life in focus, vision coverage through Anthem Blue View Vision provides benefits for eye exams and vision correction treatment.
Health insurance
Our medical plans provide comprehensive and affordable coverage for a range of health care services and are designed with the ability to be flexible and choose which benefits work for your needs.
Life insurance
We provide full-time and eligible part-time associates with Basic Life, and Accidental Death and Personal Loss (AD&PL) Insurance at no cost.
Wellness programs
Mental health benefits
Capital One's Employee Assistance Program provides a robust set of services including telephonic, virtual and/or face-to-face counseling, legal and financial assistance, ID theft recovery, and more.
Financial & Retirement
401(K)
Through automatic payroll deductions, you may contribute up to 50% of your Annual Benefits Salary (base salary, shift differential, bonuses, commission, incentives and overtime) to your account.
401(K) matching
Capital One will match 100% of the first 3% of Annual Benefits Salary that you contribute, plus 50% of the next 3% of Annual Benefits Salary that you contribute.
Employee stock purchase plan
You can elect to contribute between 1% and 15% of your base salary** to the ASPP and receive a partial match on your contributions from Capital One. **Includes standard pay and any commissions
Charitable contribution matching
Child Care & Parental Leave
Childcare benefits
The Bright Horizons Care Advantage Program provides alternative child and adult care options during a lapse or breakdown in normal care arrangements.
Generous parental leave
Flexible parental leave options are available to full-time associates at the time of their child’s birth or arrival in their home.
Family medical leave
Adoption Assistance
The Adoption Reimbursement program provides financial support to full-time associates who are building their families through adoption.
Vacation + Time Off
Generous PTO
Paid holidays
Paid sick days
Office Perks
Commuter benefits
Company-sponsored outings
Some meals provided
Company-sponsored happy hours
Onsite office parking
Recreational clubs
Relocation assistance
Fitness stipend
Home-office stipend for remote employees
Onsite gym
Professional Development
Job training & conferences
Tuition reimbursement
Lunch and learns
Promote from within
Mentorship program
Continuing education stipend
Continuing education available during work hours
Online course subscriptions available
Customized development tracks
Paid industry certifications

Additional Perks + Benefits

Capital One’s perks and benefits are progressive and industry leading. We have always believed in the importance of providing comprehensive and expansive benefits to complement and contribute to our associates’ total compensation package. For example, we were one of the first major companies to offer same-sex marriage benefits back in 1997 and we have since continued to build our benefits portfolio to include a host of other LGBTQ+ friendly offerings, from fertility coverage to reimbursements for associates who chose to build their families through adoption and surrogacy, to domestic partner benefits and health coverage for gender reassignment. In addition, Capital One’s campuses offer fitness facilities, cafés and, at certain locations, onsite health services for associates and their families. Our benefits package is unique as it provides flexibility for you to determine your path to health, wealth and life support.

View full list of perks + benefits
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