Manager, Financial Risk Management - Regulatory Compliance
- Employer
- Capital One
- Location
- Richmond, Virginia
- Closing date
- Dec 6, 2021
View more
- Industry
- Financial Services and Banking
- Function
- Finance
- Hours
- Full Time
Job Details
Manager, Financial Risk Management - Regulatory Compliance
Finance Risk Management - Regulatory Compliance Management
Capital One is seeking a motivated professional to join the Finance Risk Management (FRM) Regulatory Advisory team. As a member of FRM, the associate will play a key role in executing a robust and proactive risk management program for our compliance management program and the Reg AB and Reg W requirements by partnering with and influencing key stakeholders to achieve business value while ensuring Finance is operating within the enterprise risk management frameworks.
The Risk Manager performs a key role within Capital One's line of defense risk management model, to help ensure corporate initiatives and departmental processes comply with applicable laws, regulations, business requirements and controls.
This position is responsible for (but not limited to):
- Compliance management program team, ensuring effective processes to identify and assess risk mitigation coverage of regulatory requirements across Finance and aligning regulatory requirements management with related risk assessment activities
- Reg AB Compliance SME for Finance, including providing program governance and oversight of Reg AB for all of Finance to ensure compliance with all aspects of Reg AB across all 3 platforms: Card, Auto and Commercial and facilitate Quarterly Governance Oversight Committee Meeting
- Reg W Compliance SME for Finance, including program governance and oversight for all of Finance to ensure compliance with all aspects of Reg W and oversee Control Performer for Reg W Controls including Intercompany Agreements process (POC for LOB that want to initiate a transaction that potentially involve multiple Capital One legal entities to help determine whether the transaction as proposed will be compliant or if special safeguards must be included to ensure any Reg W restrictions or prohibitions are adhered-to) in Finance (junior team member control owner)
Basic Qualifications:
- Bachelor's Degree or military experience
- At least 3 years' work experience in a Finance, or a Compliance, or an Audit, or a Legal, or a Risk Management role
Preferred Qualifications:
- 5+ years' Banking industry experience within Compliance, or Audit, or Legal, or Risk Management
- Excellent communication skills, both written and verbal
- Problem solving and innovative thinking skills
- Ability to build relationships across a broad range of internal and external partners
- Strong track record of building relationships and establishing effective processes to address complex issues
- Ability to work without direct supervision and engage effectively at a high level
- Good time management skills
- Demonstrated leadership experience
- Knowledge of Accounting and Finance processes and practices
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 RecruitingAccommodation@capitalone.com . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.
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).
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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