Capital One
Compliance Director
Capital One, Mc Lean, Virginia, us, 22107
Center 1 (19052), United States of America, McLean, Virginia
Compliance Director
Compliance & Ethics (C&E) is seeking a Director to own the creation, management, and oversight of program initiatives chartered to enhance existing governance and oversight of the Compliance Management Program (CMP). As part of C&E, you’ll work with talented associates to provide oversight and guidance to sustain existing CMP practices and enhance methodology to ensure our businesses effectively manage compliance risk. The successful candidate will be self-starting, entrepreneurial, and collaborative to excel in a team environment. This individual will have experience in risk management, improving processes or products, identifying with the perspective of our customers, and be able to provide effective challenge and guidance on compliance risks through various interactions and engagements. This individual must be able to effectively communicate and influence partners across the company and across multiple levels of the organization. Strong problem solving and analytical skills, attention to detail, project management capability, and results driven are essential to succeeding in this role. This individual should feel comfortable working with quantitative and qualitative information and move past ambiguity to grounded recommendations in an organized and transparent manner.
Specific responsibilities include, but are not limited to, the following:
Play a key role in contributing to the effective design and delivery of specific initiatives intended to enhance the CMP
Leverage data and analytics to inform outcomes and identify improvement opportunities
Collaborate with cross-functional/matrixed performers to accomplish shared objectives
Anticipate, identify, and escalate risk scenarios early and propose potential mitigations
Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas
Basic Qualifications:
Bachelor’s degree or military experience
At least 8 years of experience in compliance, risk management, legal or audit
At least 5 years of experience in financial services
Preferred Qualifications:
Masters degree or Juris Doctor (JD) degree
Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise Risk Professional (CERP)
5+ years of internal strategy or management consulting experience
3+ years of people management experience
Experience leading strategic process, product or program change
Ability to explore and quickly grasp new technologies to progress varied initiatives
Ability to prioritize among many conflicting needs, advocate a course of action, and pursue it while remaining flexible and responsive to dynamic situations
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website (https://www.capitalonecareers.com/benefits) . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
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 (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. 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).
Compliance Director
Compliance & Ethics (C&E) is seeking a Director to own the creation, management, and oversight of program initiatives chartered to enhance existing governance and oversight of the Compliance Management Program (CMP). As part of C&E, you’ll work with talented associates to provide oversight and guidance to sustain existing CMP practices and enhance methodology to ensure our businesses effectively manage compliance risk. The successful candidate will be self-starting, entrepreneurial, and collaborative to excel in a team environment. This individual will have experience in risk management, improving processes or products, identifying with the perspective of our customers, and be able to provide effective challenge and guidance on compliance risks through various interactions and engagements. This individual must be able to effectively communicate and influence partners across the company and across multiple levels of the organization. Strong problem solving and analytical skills, attention to detail, project management capability, and results driven are essential to succeeding in this role. This individual should feel comfortable working with quantitative and qualitative information and move past ambiguity to grounded recommendations in an organized and transparent manner.
Specific responsibilities include, but are not limited to, the following:
Play a key role in contributing to the effective design and delivery of specific initiatives intended to enhance the CMP
Leverage data and analytics to inform outcomes and identify improvement opportunities
Collaborate with cross-functional/matrixed performers to accomplish shared objectives
Anticipate, identify, and escalate risk scenarios early and propose potential mitigations
Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas
Basic Qualifications:
Bachelor’s degree or military experience
At least 8 years of experience in compliance, risk management, legal or audit
At least 5 years of experience in financial services
Preferred Qualifications:
Masters degree or Juris Doctor (JD) degree
Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise Risk Professional (CERP)
5+ years of internal strategy or management consulting experience
3+ years of people management experience
Experience leading strategic process, product or program change
Ability to explore and quickly grasp new technologies to progress varied initiatives
Ability to prioritize among many conflicting needs, advocate a course of action, and pursue it while remaining flexible and responsive to dynamic situations
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website (https://www.capitalonecareers.com/benefits) . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
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 (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. 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).