Risk Manager
- Employer
- Capital One
- Location
- McLean, Virginia
- Closing date
- Feb 4, 2021
View more
- Industry
- Financial Services and Banking
- Function
- Finance
- Hours
- Full Time
Job Details
Risk Manager
Capital One has acquired United Income, a wealth management FinTech start-up that uses technology to unlock more effective ways to accumulate wealth and plan for retirement. The United Income Risk Office plays a key role in helping develop and maintain the risk management practices required for this registered investment adviser affiliate of a major financial institution. We are seeking a talented Manager to drive the integration and ongoing risk management support for this innovative, new business. You will be a critical member of a team in a high-growth area.
Managers in Risk Management at Capital One are highly motivated professionals with excellent organizational, leadership and communication skills. They have a high level of exposure across lines of business and the opportunity to work with Executives to create and implement innovative solutions to identify and mitigate potential risks to the Company.
Responsibilities:
- Guide and advise registered investment advisers on identifying and mitigating risks related to new processes, products and services
- Ensure the control environment is in place to meet regulatory and internal policy/standard requirements
- Facilitate detection and recovery of risk issues and events and ensure sustainable, well-managed solutions
- Provide transparent risk reporting
- Ensure effective risk management governance through collaboration with compliance, legal, internal audit and other functional partners
- Work with the enterprise to incorporate wealth management business in decisions, policies, and standards
- Serve as a subject matter expert on investment adviser risk management practices
- Collaborate effectively across multiple organizations such as Operational Risk Management, Enterprise Risk Management, Compliance,, Information Technology, Internal Audit, Regulator Relations, etc. to achieve objectives.
- Advise senior leaders across the business regarding potential risks and risk mitigation strategies, including the BCRO for Financial Services.
- Monitor changes to requirements and controls and govern the process for implementing those changes into the risk system of record.
Basic Qualifications:
- Bachelor's Degree or military experience
- At least 3 years of experience in one of the following: risk management, compliance or legal practice
- At least 1 years experience in the investment advisory industry
- At least 3 years of Project or Process Management experience
- At least 3 years of experience supporting, partnering and interacting with internal business clients
Preferred Qualifications:
- At least 1 year of experience with the asset and wealth management industry, including the Investment Advisers Act of 1940 and related SEC regulations
- Experience with integrating small companies into large companies or incubating small companies within large organizations
- At least 1 year of people management experience
- 4 years of Project Management experience leading cross functional projects and programs in Risk
- 4 years of Financial Services risk management experience
- Ability to set direction, manage expectations and lead cross-functional teams
At this time, Capital One will not sponsor a new applicant for employment authorization for this position
Company
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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