Manager - Compliance Risk Reporting and Strategic Initiatives

Employer
Capital One
Location
McLean, Virginia
Posted
May 15, 2022
Closes
Jun 11, 2022
Ref
R137618
Function
Finance
Hours
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Manager - Compliance Risk Reporting and Strategic Initiatives

Manager - Compliance Risk Reporting and Strategic Initiatives



Job Description:

Corporate Compliance establishes and oversees the enterprise-wide Compliance Management Program (CMP). The Corporate Compliance Governance, Oversight, and Validation (CGOV) team is responsible for establishing the processes, protocols, and monitoring that support core elements of the CMP. This role will perform key department activities within our CGOV team.

The role requires a highly motivated individual with excellent analytical, problem solving, and communication skills. They are forward thinking, quick to adapt, and technologically adept. A successful candidate in this role will possess a foundation of knowledge about risk management, financial services, laws and regulations, and risk appetite -- coupled with an ability to leverage detailed reporting to highlight key themes for executives.

Specifically, the role will support the CMP by:

  • Supporting the production of the Chief Compliance Officer's department quarterly enterprise compliance risk update to the Board of Directors and other reports (e.g., EC scorecards)
  • Supporting the Chief Compliance Officer and VP of CGOV in maintaining the compliance risk framework including the risk appetite statement and metrics
  • Overseeing the establishment, updates, collection, and analysis of Compliance risk and performance metrics used in risk reporting and risk profile processes
  • Leading execution of strategic efforts to continuously improve our CMP methodologies, processes, and reports
  • Overseeing compliance risk reporting and profile standards including working with and supporting Senior Compliance Officers and teams in execution of divisional compliance risk reports
  • Collaborating effectively across Compliance and cross-teaming outside the department including Enterprise Risk Management, Corporate Governance, Legal, Audit, Regulatory Relations, and First Line Business Risk Office
  • Assisting with audits, exams, and regulatory updates


An Ideal Candidate:
  • Is focused on quality, timeliness, and accurate reporting delivery
  • Can summarize a storyline from data
  • Is both detailed-oriented and strategic, while managing delivery within tight timelines
  • Strong reporting background, data visualization, and executive communication
  • Is a critical thinker that enjoys solving complex problems, seeking to understand the business and its risk environment
  • Is able to bring a vision to life through well thought and pragmatic strategic plans
  • Is comfortable with engaging wide range of stakeholders (junior to senior levels) and flexible with communication style
  • Enjoys working in fast paced environment and on routine tasks
  • Is a continuous learner
  • Is familiar with financial services risk management frameworks


Basic Qualifications :
  • High school diploma, GED or equivalent certification
  • At least 3 years of risk management, or project management, or process management experience
  • At least 3 years of experience working in financial services


Preferred Qualifications :

  • Bachelor's or Master's degree
  • Strong communication and collaboration skills
  • Strong problem solving and customer focus skills
  • 1 year of experience working with senior leaders
  • 2 years of data analysis and reporting experience or data visualization
  • 5 years of experience working in financial services
  • 3 years of experience with Governance, Risk, and Compliance analytics and software tools
  • 2 years of Agile or design thinking experience
  • Risk and/or Project Management Certifications (CRCM, ABA Risk Management Certification, CPM)


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

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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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 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

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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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