Overview Senior Manager, Compliance Advisor – Retail Bank. The Senior Manager, Compliance Advisor – Retail Bank performs a key risk management role (second line of defense) to help ensure corporate initiatives and processes comply with applicable laws and regulations. While working within the Compliance Management Program framework, the Retail Bank Compliance Advisor is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and executing or participating in corporate processes. The Retail Bank Compliance Advisor will support and advise on the following areas within the Retail Bank: Customer Protection to include Fraud Strategy and Prevention, Fraud Investigations, Claims and Disputes. The Senior Manager supports the line of business by providing input on regulatory requirements, guidance on policies, standards, and procedures, developing and leading department training, providing compliance advice and effective challenge on complex projects, and guidance on controls over regulatory requirements and line of business monitoring of those controls. Responsibilities: Identify potential internal and external risks relating to the lines of business initiatives and processes and provide guidance on remediation, escalate and facilitate with subject matter experts when necessary. Maintain subject matter expertise of applicable laws and regulations including UDAAP, Regulation CC, and Regulation E. Perform and review control assessments executed by peers for accuracy and adherence to test procedures. Evaluate Internal Audit, Regulatory Exam, and self-identified issues and events for compliance impacts. Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements. Advise lines of business on the application of Compliance requirements, such as new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or regulation. Assist lines of business in the development and maintenance of the Compliance Program, including how to monitor, report, and train. Support lines of business through expert advice, influence adjustments to processes, procedures, and controls. Perform UDAAP validations and reviews. Actively participate in compliance testing and third-party compliance activities. Maintain expert understanding of the Compliance Risk Management Framework and applicable laws and regulations. Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management. Participate in governance activities, including Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and Event Management, and others. Participate in reporting activities including Monthly Business Reviews, Quarterly Compliance Reviews and other reports used by Senior Leadership. Travel to Capital One locations as necessary. Basic Qualifications: Bachelor’s Degree or military experience. At least 6 years of compliance, risk, legal or audit experience within financial services. At least 3 years of experience in operations, servicing, systems or platforms within retail bank. Preferred Qualifications: Master’s Degree or Juris Doctor. 7+ years of experience in compliance, risk, legal or audit experience within financial services. Experience with models, data science or artificial intelligence. Compliance certification(s) (CRCM, ACAMS or CIPP). 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. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. McLean, VA: $170,800 – $194,900 for Compliance Advisor Sr. Manager. Richmond, VA: $155,300 – $177,200 for Compliance Advisor Sr. 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 eligible to earn performance-based incentive compensation, which may include cash bonuses 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. 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with 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 for assistance. Capital One does not provide, endorse nor guarantee third-party products or services and is not liable for information available through this site. Capital One Financial is made up of several entities; notes about positions posted in Canada, the United Kingdom, and the Philippines apply to the respective Capital One entities.

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