Capital One
Director, Compliance, Corporate Integrity
Capital One, Mc Lean, Virginia, us, 22107
Director, Compliance, Corporate IntegrityAs a Director within the Ethics Office, you will be responsible for managing the Conflict of Interest (COI) and Gift and Entertainment (G&E) Programs, involving a wide range of typologies to include personal financial interests, work relationships with familial/close personal relationships, external board/advisory roles, and secondary employment, from disclosure to resolution. This includes supervising and conducting substantive reviews; advising on mitigating conditions, as needed; and delivering advice and guidance to associates. You will also support Ethics Office program initiatives involving awareness, education, and outreach; perform program-related monitoring activities; engage in data analytics to inform the program; and provide advice and counsel.
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; has experience spotting issues and proactively identifying thoughtful, well-reasoned solutions; and has excellent judgment. 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.
Specific responsibilities include:
Managing the Ethics Office’s interaction models and building and maintaining collaborative relationships with partners across Capital One, including HR, Legal, Compliance, External Affairs, Capital One Software, Capital One Ventures, Risk Management, and other impacted lines of business;
Analyzing, resolving, and documenting complex, sensitive, and escalated COI and G&E disclosures;
Supervising Ethics Specialists conducting initial assessments, fact-finding, and interviews supporting the analysis and resolution of COI/G&E disclosures from current associates and job candidates;
Providing oral and written briefings for senior leadership, up to and including the Chief Ethics Officer;
Developing/maintaining an enterprise-wide 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/G&E Disclosure programs;
Managing the identification of trends, emerging risks, and insights to inform Ethics Office programs;
Contributing perspective and expertise to broader Ethics Office initiatives including Code of Conduct administration, outreach benchmarking, and additional program build;
Prioritizing among multiple tasks and responsibilities in a fast-paced, dynamic environment, while maintaining collaborative relationships with various partners;
Serving as a member of the senior leadership team in the Office of Corporate Integrity and supporting the mission thereof.
Basic Qualifications:
Juris Doctorate degree
At least 10 years of experience in Corporate Ethics, Government Regulatory Enforcement, Legal, Compliance or Risk Management
At least 3 years experience in the financial services industry
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 thereof
Proficiency in the Google Suite (Google Docs, Slides, Sheets, Keep) or Microsoft equivalent
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law.
#J-18808-Ljbffr
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; has experience spotting issues and proactively identifying thoughtful, well-reasoned solutions; and has excellent judgment. 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.
Specific responsibilities include:
Managing the Ethics Office’s interaction models and building and maintaining collaborative relationships with partners across Capital One, including HR, Legal, Compliance, External Affairs, Capital One Software, Capital One Ventures, Risk Management, and other impacted lines of business;
Analyzing, resolving, and documenting complex, sensitive, and escalated COI and G&E disclosures;
Supervising Ethics Specialists conducting initial assessments, fact-finding, and interviews supporting the analysis and resolution of COI/G&E disclosures from current associates and job candidates;
Providing oral and written briefings for senior leadership, up to and including the Chief Ethics Officer;
Developing/maintaining an enterprise-wide 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/G&E Disclosure programs;
Managing the identification of trends, emerging risks, and insights to inform Ethics Office programs;
Contributing perspective and expertise to broader Ethics Office initiatives including Code of Conduct administration, outreach benchmarking, and additional program build;
Prioritizing among multiple tasks and responsibilities in a fast-paced, dynamic environment, while maintaining collaborative relationships with various partners;
Serving as a member of the senior leadership team in the Office of Corporate Integrity and supporting the mission thereof.
Basic Qualifications:
Juris Doctorate degree
At least 10 years of experience in Corporate Ethics, Government Regulatory Enforcement, Legal, Compliance or Risk Management
At least 3 years experience in the financial services industry
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 thereof
Proficiency in the Google Suite (Google Docs, Slides, Sheets, Keep) or Microsoft equivalent
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law.
#J-18808-Ljbffr