Principal Associate, Regulatory Compliance Governance Specialist

Employer
Capital One
Location
Richmond, Virginia, United States
Posted
Jan 12, 2023
Closes
Feb 11, 2023
Ref
R162136
Function
Finance
Hours
Full Time
West Creek 4 (12074), United States of America, Richmond, Virginia

Principal Associate, Regulatory Compliance Governance Specialist

As a Risk Management professional in Capital One's Enterprise Services (ES) Risk organization, you will apply your risk management skills to verify we have appropriate controls to ensure we are in compliance with important laws and regulations for various lines of business such as digital products and services, facilities, security, procurement, external affairs, investment ventures, Capital One software, technology, and brand (collectively called "Business"). You will partner and collaborate with compliance, legal, risk and line of business professionals to review existing regulatory applicability to Business processes and associations to the existing control suite. You will ensure that we maintain ongoing compliance to laws and regs through various risk assessment activities. You will also help drive automation of processes and reporting within the regulatory applicability space to create efficiencies and best in class reporting. In doing so, you will be responsible for investigating business practices, communicating impacts to business partners, and driving implementation of necessary changes in processes and controls. You will develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. Your contributions will drive organizational change through risk identification, measurement, analysis and reporting in order to better manage the company's risk in an open and collaborative environment.

Enterprise Services Risk professionals are experienced and progressive individuals that operate within a highly collaborative team environment to deliver value-added risk management services to our business partners. You will have a significant level of exposure across the business and have the opportunity to work with professionals to create and implement innovative solutions to identify and mitigate potential risks to the Company.

Responsibilities:
  • Perform independent regulatory applicability to control reviews in various lines of business such as digital products and services, facilities, security, procurement, external affairs, investment ventures, Capital One software, technology, and brand (collectively called "Business"), to ensure compliance with regulations. In coordination with a counterpart in ES Risk, support the governance of overall ongoing Tech regulatory applicability
  • Partner and actively participate with the 1st line Business controls testing team to review controls during the test of design phase to ensure the controls mitigate the risks of existing regulatory applicability
  • Analyze large amounts of data to identify our risk posture with regulatory compliance and create data driven reporting for senior leadership
  • Investigate business practices and communicate regulatory impacts to business partners
  • Utilize background to drive automation of processes and reporting within the regulatory applicability space to create efficiencies
  • Lead/participate in cross-functional and enterprise-wide compliance projects, programs and initiatives as requested
  • Prepare monthly and quarterly reporting
  • Support the oversight and revision of written documents such as policies, standards, procedures, and guidelines
  • Be intellectually curious to question the obvious, explore options, and seek to develop and implement efficiencies and process improvements
  • Use strong verbal and written skills to communicate with key partners in ES Risk, Compliance, and the Business


Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 3 years of experience in legal, regulatory compliance, audit, or risk
  • At least 2 years of experience supporting, partnering, and interacting with internal business clients
  • At least 2 year of Project Management experience
  • At least 2 years experience with Excel and/or Google Suite
  • At least 1 year experience in data analysis


Preferred Qualifications:
  • At least 5 years of experience in legal, regulatory compliance, audit, or risk
  • At least 2 year experience in data analysis
  • Strong communication skills, including an ability to effectively explain legal and compliance requirements to a non-legal audience
  • Ability to influence business partners to prioritize risk management work
  • Adaptable to the changing circumstances of a fast-paced technology company
  • Experience in controls development, controls management, and reporting activities


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

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.

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.

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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).