Director, Assistant General Counsel: Governance & Securities

Capital One
McLean, Virginia, United States
Mar 28, 2023
Apr 25, 2023
Full Time
Center 1 (19052), United States of America, McLean, Virginia

Director, Assistant General Counsel: Governance & Securities

The Governance & Securities team is seeking an experienced attorney to join a dynamic group of legal professionals who support Capital One's Board of Directors, executive management and its public disclosure processes. This is a critical role within the organization, as you will be the primary liaison to specific committees of the Board of Directors and to certain management committees. Additionally, you will provide support for a range of securities compliance and disclosure matters, manage the administration of certain governance policies and guidelines and support our investor relations team. This is a highly visible role within the organization requiring maturity and professionalism in interacting with executive leadership and the Board of Directors.

In this role, you will help to identify risks and solve problems alongside a team of world-class professionals. You will find that the Legal Department is not a "check the box" function but instead, an important voice and strategic partner in all aspects of the business. You will discover a collaborative environment that values your insight, encourages you to take on new responsibility, promotes continuous learning, and rewards innovation and intellectual curiosity.

Responsibilities :
  • Providing advice and counsel on a broad range of corporate governance and securities law matters, including governance and organizational documents, securities law filings, and transactional and regulatory matters
  • Providing comprehensive support for Capital One's Board and its committees, including drafting meeting minutes, resolutions, and other Board and governance related documents and materials
  • Drafting, reviewing and managing related processes for a broad range of SEC filings
  • Supporting Investor Relations and executive management on the preparation for quarterly earnings and investor engagement and outreach
  • Managing and overseeing the administration of corporate governance guidelines and corporate policies, such as the Capital One insider trading policy
  • Managing and coordinating outside counsel, when necessary

The successful candidate will have the following experience and skills:
  • Experience in an in-house legal department advising senior management and the board of directors on corporate governance and securities matters
  • Knowledge of current SEC and NYSE rules and regulations governing public companies
  • Experience with a broad range of SEC filings and other public disclosures
  • Ability to prioritize and manage a significant volume of projects on a broad array of topics with multiple and simultaneous deadlines
  • Excellent analytical, oral and written communication skills
  • Strong organizational skills with impeccable attention to detail
  • Ability to build collegial and effective relationships with business clients, attorneys, project managers, and corporate compliance professionals at all levels of the company

Basic Qualifications:
  • Juris Doctor from an accredited law school
  • Active member in good standing of at least one state bar
  • At least 5 years of experience in an in-house counsel role or combined experience at a law firm and in-house counsel role
  • At least 5 years of experience in a corporate governance practice or combined experience in a securities law and corporate governance practice

Preferred Qualifications:
  • At least 8 years of experience in an in-house counsel role or combined experience at a law firm and in-house counsel role
  • Experience working on securities and corporate governance matters at a financial institution
  • Experience working directly with senior executives and the board of directors

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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