Risk Manager (Regulatory and Audit)

Employer
Capital One
Location
Richmond, Virginia
Posted
Oct 27, 2021
Closes
Nov 25, 2021
Ref
R126215
Function
Finance
Hours
Full Time
West Creek 4 (12074), United States of America, Richmond, Virginia

Risk Manager (Regulatory and Audit)

As a Risk Manager within the CPE Regulatory, Risk, and Compliance team, you will apply your process management, analytical, and delivery skills to our highest profile Audit and Regulatory engagements and projects.

You will partner across CPE 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 to drive the best outcomes for the CPE 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 CPE 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.

RRaC 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 CPE 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 CPE 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



Preferred Qualifications:
  • 4+ years of experience in Project Management or Process Management
  • 4+ years of Risk Management experience
  • 3+ years of internal audit or regulatory exam experience
  • 3+ years of experience working in Agile
  • 1+ year of experience communicating with technical leadership and business stakeholders


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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