Principal Associate, Regulatory Compliance Governance Specialist

Center 2 (19050), United States of America, McLean, 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 and technology adeptness to verify we are appropriately controlling for our regulatory risks, ensuring compliance with important laws and regulations for our Tech/Cyber line of business. You will partner and collaborate with compliance, legal, risk and line of business professionals to review existing regulatory applicability to Tech 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 technology 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. A successful Risk manager for this role will be forward thinking, quick to adapt, and technologically adept with a background that includes technical skill sets.

Tasks & Responsibilities

• Perform technology and cybersecurity regulatory applicability to control reviews to ensure compliance with laws and regulations
  
• Research and understand current Tech/Cyber regulatory applicability. Stay current on technology and cybersecurity laws, regulations and standards to understand the impacts to our tech processes and aid in effective control suite reviews.
  
• Partner and actively participate with the 1st line Tech/Cyber controls testing team to review controls during the test of design phase to ensure the controls mitigate the risks of existing regulatory applicability
  
• Work with applicable stakeholders to remediate inappropriate control associations as necessary
  
• Review and analyze impact to regulatory applicability and mitigation when tech controls are modified or deleted
  
• Suggest replacement controls when existing law and regulations do not have a sufficient control suite to mitigate the risks of the requirements
  
• Investigate business practices and communicate regulatory impacts to business partners
  
• Foster effective partnerships and collaborate with business and risk management partners
  
• Assist and drive project and program delivery, including project and process management, reporting, engagement in senior leadership meetings, drafting and reviewing materials for senior management and other governance activities.
  
• Participate in risk management forums and other special projects and contribute to continuous improvement of risk and project / program management practices.
  
• Utilize background to drive automation of processes and reporting within the regulatory applicability space to create efficiencies
  
• Be intellectually curious to question the obvious, explore options, and seek to develop and implement efficiencies and process improvements
  
• Support interactions with Internal Audit and Regulatory agencies related to our work, as applicable
  

Basic Qualifications

• At least 3 years of experience in legal, regulatory compliance, audit, or risk
  
• At least 2 years of experience in information security or technology risk management
  
• At least 2 years of experience with information security and/or technology policies, standards, or procedures
  
• At least 2 years of Project Management experience
  
• At least 1 year experience Strong proficiency in Excel and/or Google Suite
  

Preferred Qualifications

• Bachelor's Degree or military experience
  
• At least 4 years of experience in legal, regulatory compliance, audit, or risk
  
• At least 3 years of experience in information security or technology risk management
  
• At least 3 years of experience with analysis of information security or technology threats and risks
  
• At least 2 years of 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.

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).