Regulatory & Audit Manager - ES Risk
- Employer
- Capital One
- Location
- Richmond, Virginia
- Closing date
- Sep 27, 2021
View more
- Industry
- Financial Services and Banking
- Function
- Finance
- Hours
- Full Time
Job Details
Regulatory & Audit Manager - ES Risk
As a Risk Manager within the Enterprise Services Risk Regulatory Practices team, you will apply your analytical and delivery skills to our highest profile Audit and Regulatory engagements and projects.
You will partner across ES to develop and support successful, forward-thinking Audit and Regulatory engagements and reporting in a manner that supports innovation, protects our customers, shareholders, and associates, and considers themes, opportunity patterns and scale across the function and enterprise. You will partner with peers and senior leaders, in the first, second and third lines of defense to drive the best outcomes for the ES audit and regulatory engagements in an open, collaborative environment where new ideas and solutions are both welcomed and rewarded.
You will provide proactive and on-going regulatory intelligence to our ES divisions to ensure they remain well-managed, including autonomous coordination and drafting of internal communications and briefs for BAU regulator meetings, attending meetings with regulators, drafting meeting notes, updating regulators on recent developments, updating reporting and ensuring completion of any follow up actions after the meetings.
Enterprise Services Risk team members are experienced, well-trained, progressive individuals
operating within a highly collaborative team environment to deliver value-added risk services to
our business partners. The successful candidate will be a highly-motivated Risk Management
professional with excellent leadership, project management, analytical, planning, collaboration,
strategic thinking and communication skills.
Responsibilities:
- Overseeing and reviewing audit and regulatory responses across the full lifecycle, including facilitating integration and prioritization of various regulatory commitments into proactive risk management effort, in collaboration with other risk partners
- Contributes to a readiness assessment of the end to end process being examined to identify any control gaps or weaknesses, potential issues and potential emerging risks.
- Operating within a highly collaborative team environment, manage time with a sense of urgency to ensure regulatory deliverables are completed within established timeframes
- Drive consistency and automation in all reporting and processes
- Monitor corrective action of findings and risks, and ensure implementation by deadlines
- Provides proactive and on-going regulatory intelligence to the divisions to ensure they remain well-managed
- Support audit and regulatory engagement planning, management and reporting across all ES functions
- Guided by team leadership, participate in audit and regulatory engagements through documentation and quality assurance review of evidence (submitted to the auditors and/or examiners)
- Assist with documentation on finding remediation efforts (including milestone deliverables and overall finding completion), request list trackers, and evidence
- Provide proactive insight into upcoming engagements using intel gathered throughout the process
- Prepare senior leaders who meet regularly with Regulators to provide an update on performance, progress on large initiatives, and provide deep dives as needed to address questions or provide additional context
- Develop and maintain the methodology, engaging the right business leaders and resources, and driving the prep work to meet with and respond to regulators
- Utilize a proactive and consistent approach relying on clear milestones, expectations, roles and responsibilities, along with risk intelligence and collaboration
- Ensure that processes are well managed through the creation and maintenance of process documentation and tools
- Support risk management reporting and communications
Basic Qualifications:
- Bachelor's Degree or military experience
- At least 3 years of experience in Project Management or Process Management
- At least 3 years of Risk Management experience
- At least 2 years of internal audit or regulatory exam experience
- At least 2 years of experience working in Agile teams
Preferred Qualifications:
- At least 4 years of experience in Project Management or Process Management
- At least 4 years of Risk Management experience
- At least 3 years of internal audit or regulatory exam experience
- At least 3 years of experience working in Agile teams
- People Management experience
- Experience working in the fields of technology or cyber
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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