Principal Associate, Compliance Advisory - Toronto, Canada - Capital One

Capital One

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

beBee Recruiter

Description

161 Bay Street , Canada, Toronto,Toronto, Ontario,

Principal Associate, Compliance Advisory

As a Compliance Advisor at Capital One, you'll be part of a team that values your perspective.

You'll perform a key second line of defense role, providing advice and to effectively challenge the business unit stakeholders on ensuring 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.

Curious you ask why, you explore, you're not afraid to challenge. You possess a practical business sense and a solution focused approach.
A Wrangler you learn how to navigate the organization and can adapt to change
A coach, and not a referee. You are a strong relationship builder who has experience with influencing and consulting with a diverse group of business stakeholders.
Able to thrive in an agile, fast paced environment
Autonomous, and happy to not be micromanaged

On any given day, you'll be:

Assisting business unit stakeholders in understanding and complying with complex regulatory requirements;
Working with stakeholders to implement regulatory changes, and to enhance controls for existing regulatory requirements;
Understanding expectations from external entities such as auditors and regulators, and how the risk appetite and risk culture should be considered in daytoday activities and decisions;
Reviewing, updating and developing policies and procedures to ensure compliance with complex regulatory requirements;
Proactively assisting and advising business unit stakeholders as they engage in new or changed products, processes, systems, services or initiatives and assisting with incorporating compliance requirements into these initiatives to ensure they are aligned with regulatory requirements and internal policies and procedures. Your voice will be valued here, and you will have a seat at the table;
Communicating new or changed regulations, regulatory trends, policies and procedures, and emerging risks to business unit stakeholders;
Providing guidance to business unit stakeholders on establishing their daytoday compliance controls, and monitor and assess the ongoing effectiveness of these controls;
Retrieving and organizing data from internal systems to facilitate team discussions and trigger internal follow ups; and
Submitting data to and liaising with enterprise teams to ensure internal systems are up to date.

Basic Qualifications:

Bachelor's degree
5+ years of experience working in a regulated financial services organization or a highly regulated industry
3+ years working in a compliance, legal, or audit role
3+ years of experience working in a complex operational environment

Preferred Qualifications:

CPA or accounting background, MBA or legal degree
CIPP and/or ACAMS designation is an asset
Knowledge of the FCAC Compliance framework
Strong written and verbal business communication skills
Analytical skills and good judgment are extremely important
Ability to adopt a riskbased approach in making recommendations to implement practical policies and procedures
Ability to work independently with mínimal 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 seminars and training sessions provided internally and externally
At least 1 year of experience using Google Suite of products (Slides, Docs, Sheets, Gmail, Forms, Drive, Sites) and proficiency in Microsoft Excel

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.

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).

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.

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educat