Senior Associate Finance Risk Management - Regulatory Compliance

Capital One
McLean, Virginia, United States
Jan 31, 2023
Feb 22, 2023
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Senior Associate Finance Risk Management - Regulatory Compliance

Capital One is seeking a motivated professional for a Senior Associate position within the Finance Risk Management (FRM) team. FRM associates are engaged and insightful risk management partners working across the Finance organization to execute robust and proactive risk management programs, improve effectiveness and efficiency of operation while reducing risk and influencing risk stakeholders, i.e., risk offices, compliance, internal audit, and regulators. FRM strives to enable a strong culture of risk management across Finance that is adaptable to a changing environment.

This position will have a heavy focus facilitating the intercompany agreement intake process and managing regulatory requirements, Clearing House updates, and regulatory applicability control coverage. To be successful, the applicant will develop deep relationships with Finance risk advisors and compliance. The preferred candidate should be action oriented, effective at problem solving, influencing, and communication skills.

General Responsibilities:
  • Understand internal compliance management program policies, standards, and procedures as it pertains to regulatory changes and intercompany agreement process
  • Identify opportunities to mature our regulatory applicability risk framework ensuring effective control practices, governance, and supporting documentation;
  • Facilitate the review and approvals for Intercompany Agreement process intake and annual attestation process in order to provide support and develop acumen and relationships with stakeholders;
  • Participate in and execute other special projects / audits for the team on a periodic basis;
  • Develop and maintain documentation to include process flow charts, procedures, presentations, corporate intranet site, and training materials;
  • Advise and support vertical risk advisors, business partners and compliance partners;
  • Identify and drive process improvements within Finance's operational risk management programs

Basic Qualifications
  • Bachelor's Degree or military experience
  • At least 2 years experience working in the financial industry

Preferred Qualifications
  • 1+ year of experience with Compliance Management Programs
  • Business process improvement experience
  • Ability to work effectively in a team environment, deliver accurate results and adhere to tight deadlines
  • Familiarity with DocuSign, Excel, Fuse, PRIME

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 . 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

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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