Sr. Risk Associate, Small Business Conduct Risk Support

Capital One
McLean, Virginia
Oct 24, 2021
Nov 14, 2021
Full Time
Center 1 (19052), United States of America, McLean, Virginia

Sr. Risk Associate, Small Business Conduct Risk Support

Retail Bank Risk Office is seeking a highly self-motivated and analytical thinking risk manager to support the growing Conduct Risk program, specifically Small Business. The Risk Office is accountable to provide actionable insight to Small Business operations, including identifying emerging risks and trends. This role requires strong collaboration with business partners across Capital One lines of business, as well as Legal, Compliance, and the broader Bank Risk Office.


Risk Management:
  • Support risk management in Small Business Conduct Risk and Small Business sales culture and contribute to assessments for Senior Management
  • Support the risk assessment of the Business Bankers incentive program, including 2nd line testing
  • Identify and resolve risk events / issues impacting customers stemming from process breakdowns or other problems while developing permanent corrective actions
  • Identify control gaps and proactively identify opportunities for process improvement
  • Partner with Retail Banking groups to document policies, processes, standards, and procedures to facilitate/demonstrate compliance with laws and regulations
  • Assist in the development and implementation of risk management controls in PRIME
  • Coordinate business responses to internal audits and external exams

Project/Process Management:
  • Lead cross-functional team meetings to identify emerging risks and trends to create talking points to Senior Management and corporate compliance leadership
  • Establish a process for root cause analysis, customer remediation, and tracking for sales practice abuse cases
  • Proactively identify control enhancements and drive requirement gathering

Basic Qualifications:
  • Associate's Degree or military experience
  • At least 1 year of experience in Audit or Risk Management or Regulatory Compliance or Banking Operations
  • At least 2 years of experience in Retail Banking
  • At least 2 years of experience with GSuite and Microsoft Office

Preferred Qualifications:
  • Bachelor's Degree
  • 1 + years of process or project management experience
  • Knowledge of Small Business operations and products
  • Knowledge of Sales Practices and Conduct Risk
  • Ability to manipulate Data to identify insights

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.

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.

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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).

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