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

Director, Compliance - Ethics & Investigations

As a Director within the Ethics Office, you will be responsible for assessing and supervising and documenting the assessment of Conflict of Interest (COI) disclosures involving complex internal and external financial investments, the intersection of company and personal investments and investment strategies, and associates' outside business engagements, to include: board and advisory services, financial investments, and secondary employment. You will also support Ethics Office program initiatives involving awareness, education, and outreach. Specific responsibilities include:

• Managing the Ethics Office's interaction models with partners in Capital One's investment and commercialization functions;
  
• Analyzing, resolving, and documenting complex, sensitive, and escalated COI disclosures;
  
• Supervising COI Specialists conducting initial assessments, fact-finding, and interviews supporting the analysis and resolution of COI disclosures from current associates and job candidates;
  
• Providing oral and written briefings for senior leadership, up to and including the Chief Ethics Officer;
  
• Developing an enterprise-wide certification process to promote disclosure of potential conflicts as well as programs to monitor adherence to conditions designed to mitigate conflicts;
  
• Implementing case management best practices and technological solutions to gain efficiencies and scale the COI Disclosure program;
  
• Establishing and maintaining strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management, as well as within the lines of business;
  
• Managing the identification of trends, emerging risks, and insights regarding the COI program;
  
• Contributing COI perspective and expertise to broader Ethics Office initiatives including Code of Conduct administration, outreach benchmarking, and additional program build; and
  
• Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.
  

Candidate Profile:

The ideal candidate is an experienced legal, ethics, or compliance professional, who works collaboratively as part of a team and is an empowering people manager. The successful candidate is also an active listener and critical thinker, possesses excellent written and oral communication skills, and has experience spotting issues and proactively identifying thoughtful, well-reasoned solutions. This individual is self-motivated, flexible in responding to changes in assignments and job responsibilities, and maintains positive working relationships with business partners. Finally, this individual must be dedicated to complying with all organizational and professional ethical standards.

Basic Qualifications:

• Juris Doctorate from an accredited law school
  
• At least 10 years of experience in Corporate Ethics, Government Regulatory Enforcement, Legal, Risk Management, Compliance programs or a combination
  
• At least 3 years experience in financial services industry focused on investing and corporate development
  

Preferred Qualifications:

• At least 10 years of experience working in financial services
  
• At least 5 years of experience in Ethics, Risk, Compliance Programs or a combination with a focus on analyzing conflicts of interest
  
• Experience collecting, analyzing, and measuring process data to initiate sustainable business practices, procedures and to report to senior leadership and executives
  
• Experience with program management, change management, maintenance of program governance documents or a combination
  
• Proficiency in the Google Suite (Google Docs, Slides, Sheets, Keep) or Microsoft equivalent
  
• Excellent written and verbal communication skills
  

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.

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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).