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Compliance Advisor Senior Manager

Capital One · Riverwoods, IL · Full time

Posted Sep 17, 2026 · We last checked this listing on Oct 6, 2026

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Likely interview questions for this role

Written from this job description, not a generic list. Each one notes what the interviewer is really checking.

About your past

Tell me about a time your compliance advice was challenged by a senior business partner. What happened?

What they are checking: Whether they hold their ground with reasoning and know when to escalate rather than give in or dig in.

Tell me about a control you designed or recommended for a new product. How did you know it worked?

What they are checking: Whether they think about controls as testable and effective, not just written into a procedure.

How do you explain a complex regulatory requirement to a marketing or product person in a way they'll remember?

What they are checking: Whether they can translate rules into plain guidance that actually changes how people work.

What would you do

A business leader wants to launch a new-to-credit feature fast to capture growth. You see a real risk. How do you handle it?

What they are checking: Whether they can protect the bank while still helping the business find a compliant path to its goal.

How do you decide whether an issue needs to go to a subject matter expert or escalation, versus something you can advise on yourself?

What they are checking: Whether they know the limits of their own expertise and escalate at the right time, not too early or late.

The business is scaling quickly and policies haven't kept up. How would you approach updating standards and procedures?

What they are checking: Whether they can support compliant growth by prioritizing the highest-risk gaps instead of rewriting everything at once.

About the work

You'd support the New to Credit card segment. What compliance risks are sharper for customers with thin or no credit history?

What they are checking: Whether they know fair lending, ability-to-pay, disclosure and marketing concerns that weigh more heavily on first-time borrowers.

Walk me through how you'd advise a product team early in development so compliance isn't a surprise at launch.

What they are checking: Whether they act as a proactive second-line partner during the product lifecycle instead of a final checkpoint.

Which regulations would you expect to come up most for a credit card product aimed at new borrowers?

What they are checking: Their working knowledge of rules like TILA, the CARD Act, ECOA and UDAAP as they apply to cards.

How do you stay current on regulatory changes and decide which ones matter to your business line?

What they are checking: Whether they have a real habit of tracking change and filtering it for relevance to their segment.

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The full job description

As published by Capital One.

Compliance Advisor Senior Manager The Senior Manager, Compliance performs a key risk management role in the second line of defense, providing primary compliance support to the ‘New to Credit’ credit card business segment. We are looking for a dynamic, strategic thought partner to implement the compliance strategy for this significant growth opportunity. While working within the Compliance Management Program framework, the Senior Manager is responsible for delivering quality results, providing compliance advice to lines of business as a subject matter expert, and ensuring that corporate initiatives and processes comply with applicable laws and regulations. The Compliance Advisor Senior Manager supports the line of business by: • Serving as a strategic partner and providing proactive advisory during the product development lifecycle; • Partnering with business leaders to ensure compliance risk is integrated into business strategy and growth initiatives; • Providing proactive guidance on controls for new-to-credit products; and • Providing guidance on business policies, standards, and procedures to support compliant scaling. 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 • 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 application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation • Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train • Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls • Conduct targeted validations and reviews on controls over applicable regulations • Perform UDAAP validations and reviews • Active involvement with compliance testing and third party compliance • Maintain expert understanding of 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 reporting and governance activities, such as: LAUNCH and other reports used by Senior Leadership • Flexibility to travel to various Capital One locations as necessary Basic Qualifications: • Bachelor’s Degree, or military experience • At least 5 years of experience in Compliance, Risk Management, Audit or Legal Preferred Qualifications: • Master’s Degree or Juris Doctor (J.D.) • 8+ years of experience in Compliance, Risk Management, Audit or Legal • CRCM certification, or ACAMS certification, or CIPP certification • Strong knowledge of Card Operations, Servicing, Systems and Platforms 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. McLean, VA: $177,700 - $202,800 for Compliance Advisor Sr. Manager Richmond, VA: $161,500 - $184,300 for Compliance Advisor Sr. Manager Riverwoods, IL: $161,500 - $184,300 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 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local 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 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 RecruitingAccommodation@capitalone.com . 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 Careers@capitalone.com 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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