Manager, Compliance Risk Assessments

Capital One
McLean, Virginia, United States
Closing date
Dec 9, 2023

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Job Details

Center 2 (19050), United States of America, McLean, Virginia

Manager, Compliance Risk Assessments

The Compliance Department at Capital One is creating a dynamic and innovative work environment to enable associates to use their experience and expertise to drive important projects and high priority deliverables. Compliance continues to elevate its presence across Capital One by fostering an environment where collaboration, openness and ingenuity are valued. We obsess about doing the right thing and we believe that innovation is powered by the desire to deliver superior results. We are an entrepreneurial team that embraces bold ideas and if you have the drive for building amazing customer experiences that are driven by data and insight, we want you!

As Manager for Compliance Risk Assessments, you will play a critical role in facilitating Compliance participation in enterprise risk assessment processes consistent with expectations set forth in the Compliance Management Policy. You'll work with business partners to identify process enhancements to create efficiencies, maintain program methodology, collaborate and interact cross functionally with other compliance and risk management departments. You will liaise with risk assessment owners and compliance stakeholders, govern application of enterprise risk assessment methodologies and evolve compliance engagement methodology on risk assessments. You will act as lead and steward of the compliance risk assessment community, provide stakeholder training/education, identify enhancements, and use data/analytics for robust and value add reporting. You will drive visible and high priority Compliance owned projects You will use creativity and innovation to drive problem resolution and build approaches & tools that meet the needs of all constituents.

Qualities of a successful candidate:
  • Curious and Analytical - You ask why, explore possibilities, and bring your unique perspective to the table. You are comfortable with ambiguity and are a truth seeker. You make it your business to master the data and signals to drive innovative solutions that are grounded in evidence.
  • Communicative and Influential - You communicate complex ideas concisely and convincingly orally and in writing. You adjust your communication to your audience and are comfortable facilitating discussion and driving to consensus with groups of stakeholders and presenting to executive leadership.
  • Discerning and Deliberative - You are careful and methodical, navigate uncertainty and risks expertly, and have a knack for steering the team away from impulsive or ill-informed decisions.
  • Action-Oriented and Results-Driven - You have a desire to take action, try new things, and sometimes fail. Roadblocks won't set you back, because you'll stay focused on your goals. You're organized, able to juggle multiple deliverables, and prioritize your work while keeping the customer at the forefront of everything you do.
  • Up for a Challenge and Fungible - Big, undefined, unfamiliar, and complex problems will be exciting for you as you work to identify well-rounded solutions. You have an insatiable appetite for learning, and are constantly seeking out new challenges.
  • Passionate and Customer-Focused - You are customer obsessed. You make it your business to understand their needs and their goals and are not satisfied with anything less than an exceptional customer experience.
  • Collaborative and Team-Oriented - You value diverse perspectives and seek insights from others. You bring energy to the group and rally them around a common goal
  • Creative and Innovative - You explore up diverse ways to drive problem resolution and build approaches & tools that meet the needs of all constituents, and you can prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsive to dynamic situations
  • Functionally Adept - You bring hands on experience with Google Suite of applications and Risk Management methodologies

General Responsibilities:
  • Manage Compliance engagement in Enterprise Risk Assessments
  • Determine protocols for advising on and documenting nature of compliance risks, performing and documenting effective challenge and non-objection, drive resolution of discrepancies/inconsistencies and document methodology changes
  • Act as Compliance liaison for targeted/ad hoc assessments
  • Conduct stakeholder analysis and engagement activities
  • Build and conduct relevant and role specific training for Compliance leaders, advisors and local governance specialists
  • Act as project manager, lead compliance risk assessment process governance, execution & reporting
  • Drive process improvement by identifying lessons learned and potential corrective action plans
  • Coordinate with ERM and other risk category stewards to drive updates to the compliance risk taxonomy and diagnostic guidance
  • Analyze and report on risk assessment results to inform our risk profile, testing activities, and allocation of resources
  • Contribute to Compliance Monthly Business Review and other reporting to senior management and the Board
  • Partner with Analytics & Innovation and engage in relevant new and enhanced product initiatives; assist in building requirements and applying product features to streamline and automate risk assessment activities
  • Evaluate current workflows to identify gaps or conflicts in existing processes
  • Develop recommendations for moving to the ideal end-state process and present proposals to key stakeholders and leaders for buy-in

Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 5 years of experience in a risk or compliance role within Financial Services, Technology, Consulting, Legal, or Audit
  • At least 4 years of Project Management experience

Preferred Qualifications:
  • Master's degree
  • Relevant certifications such asProject Management (PMP), Six Sigma, Certified Data Analytics (CAP)
  • Proven ability to communicate, collaborate, and manage relationships with stakeholders at various levels in a highly matrixed organization
  • Proven track record for delivering results

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.

This role is expected to accept applications for a minimum of 5 business days.

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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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).


We Don’t Only Think Big Things—At Capital One, We Do Big Things.

You’re dedicated to your career. You deserve professional satisfaction and personal fulfillment. You belong at Capital One.

Here, every day brings another chance to do impactful work that matters: helping millions of customers confidently manage their money, building stronger communities and delivering truly disruptive tech. You’ll give your all alongside some of the brightest, most resilient people in the industry—and in return, you’ll enjoy the growth opportunities, support, flexibility and benefits you need for an exhilarating life both on and off the job.

Be inspired. Be yourself. That’s #LifeAtCapitalOne.

Creating a Culture of Belonging

At Capital One, we value diversity, inclusion and belonging at our core. We’re building a place of belonging—where everyone can feel seen, heard, valued and free to be their authentic selves. We want to be a place of opportunity—where associates from all backgrounds innovate for our customers and communities, and build meaningful, fulfilling careers.

We endeavor to be a welcoming and inspiring place for all. We seek and embrace diversity. And we’re committed to having a diverse and inclusive workforce, focused on increasing the representation of underrepresented groups, strengthening our culture of inclusion and belonging and harnessing our scale to invest in our communities.

We’re focused on three core principles to advance diversity, inclusion and belonging across Capital One:

Create a culture of belonging where everyone can thrive and innovate

Attract and develop talent from all backgrounds and experiences

Ensure our systems and programs promote fairness and equity

Get a career with more at Capital One.  Discover it for yourself today.

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, sexual orientation, gender identity, protected veteran status, disability or other protected status.


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