• Compliance Manager Jobs in Canada

  • Canada
  • Save Job
  • 10 - 13 Years
  • Posted : 30 days ago

Job Description:

At Capital One, were 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

Compliance Manager

The Compliance Manager at Capital One performs a key second line of defense role providing regulatory advice and collaborating with business stakeholders to ensure our business strategies, plans and initiatives are executed and delivered in compliance with governing regulations, internal policies and procedures The incumbent should be comfortable working in a highly regulated environment Key areas of responsibility include development, implementation and management of compliance programs and processes


Advise business unit stakeholders on application of regulatory requirements, such as new products, process development, development of controls and monitoring, remediation/corrective action of breakdowns, and change in law or regulation
Providing effective challenge to processes and results, and driving customer-focused solutions

Identify potential control weaknesses and make recommendations to strengthen the control environment

Collaborating with all areas of the business including Operations, Customer Servicing, and the Business Risk Office

Preparing reports and working with senior management to respond to enquiries and examinations involving regulatory and administrative agencies

Communicating and monitoring new/amended regulations, emerging issues, voluntary codes of conduct and public commitments to business unit stakeholders and ensuring complaint reporting program is current and compliant with applicable regulatory reporting requirements

Reviewing and analyzing potential exceptions with business groups to identify regulatory reporting requirements

Develop and maintain comprehensive documentation to support knowledge management and audit requirements

Understand expectations from external entities such as auditors and regulators, and partner with business on ensuring compliance

Basic Qualifications

Bachelors Degree

At least 7 years of experience working in financial services or other highly-regulated industry

At least 7 years of experience working in a compliance, legal, or audit role

At least 7 years of experience working with Canadian banking legislation, laws, industry standards, and regulations as they apply to the financial services sector

Preferred Qualifications

Postgraduate degree in Business, Compliance / Risk, Law or other related fields

10 years of experience working in a regulated financial services organization or a highly-regulated industry

Good understanding of Bank Act and other consumer protection laws and regulations

Experience working with regulators (FCAC and OSFI)

Strong written and verbal business communication skills

Possess sound judgment and excellent analytical skills

Bilingual (English and French)

Ability to adopt a risk-based approach in making recommendations to implement practical policies and procedures

Ability to work independently with minimal direction and in a team environment

Willingness to continuously upgrade skills and keep informed of compliance and regulatory changes and policy updates through ongoing completion of education programs, and attending internal and external seminars and training sessions

Capital One Canada is an equal opportunity employer committed to fostering a diverse and inclusive work environment We consider all qualified applicants and will meet the needs of those requiring reasonable accommodations

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 RecruitingAccommodationcapitalonecom 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 Ones recruiting process, please send an email to Careerscapitalonecom

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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Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Others - other Industry
Functional Area : Production/Manufacturing/Maintenance/Packaging
Role : Production/Manufacturi ng/Maintenance
Salary : As per Industry Standards
Deadline : 18th Mar 2020

Key Skills:

Company Profile:


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