Capital One Risk Manager in Richmond, Virginia
West Creek 3 (12073), United States of America, Richmond, Virginia
At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.
Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.
Corporate Compliance establishes and oversees the enterprise-wide Compliance Management Program (CMP). The Corporate Compliance Governance, Oversight, and Validation (CGOV) team is responsible for establishing the processes, protocols, and monitoring that support core elements of the CMP. This role will perform key second line of defense activities within our GCOV team to establish effective compliance management practices across the enterprise and ensure adherence to corporate policies, standards, and procedures, such as those around regulatory applicability and change management. Specifically, the role will support the CMP by:
Oversight of the protocols for documentation of regulatory requirement applicability, including periodic reviews conducted by Compliance Officers and Advisors
Oversight of the protocols for compliance governance of changes to internal Capital One changes to business products, practices, and processes
Monitoring internal adherence of Compliance Officers & Advisors to departmental policies, standards, and procedures
Conducting routine data quality assessments to identify data anomalies or errors, identify root causes, and implement improvements
Establishing and coordinating periodic process quality assurance activities
Identifying process and system improvements, in conjunction with Compliance associates, other second lines of defense teams, and the first line of defense
Analyzing the effectiveness of the CMP as a collective system of processes, identifying improvements and pursuing enhancements
Working with and supporting Compliance Officers and Advisors as they execute CMP activities
Developing, maintaining, and occasionally conducting training on CMP processes and enhancements
Working with the Compliance lead for the risk management system of record (PRIME) to identify, develop and implement system enhancements
Ensuring related policies, standards, and procedures remain up-to-date and accurate
Bachelor’s degree or Military experience
At least 3 years of finance, audit, credit review, compliance, process management, or risk management experience
At least 3 years of experience working with senior leaders
Detailed knowledge of the PRIME system of record and the Compliance Management Program
At least 5 years of experience working in a highly-regulated industry
At least 5 years of experience working in financial services (specifically within risk management or audit)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.