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.
Summary: Corporate Compliance is seeking a Manager to help develop and support Capital One’s Finance group. Finance is responsible for executing the overall financial management of Capital One, including treasury operations, capital analysis and reporting, balance sheet management, corporate development, tax filing and strategy, line of business and top of house financial planning and management reporting, accounting and external reporting, and investor relations. Finance’s objective is to provide value to our business partners and enterprise leadership while ensuring an effective and flexible control environment. The Compliance Manager will support management and oversight of a Compliance Management Program (“CMP”) supporting critical Finance areas that pose unique regulatory risk, taking into account the OCC’s Heightened Standards guidelines. The successful candidate will be self-starting and entrepreneurial and able to integrate themselves seamlessly into existing and emerging business lines. The Manager will leverage strong analytical thinking and regulatory reporting skills to ensure appropriate, risk-based application of the CMP to Finance . Additionally, the Manager will leverage strong leadership and influencing skills to engage the business and Finance Risk Management (“FRM”) to create and maintain a CMP to fully and efficiently identify, assess and mitigate compliance risk. Additional duties include developing and administering unique processes related to managing a federated Compliance model across multiple independent risk functions (e.g., Market & Liquidity Risk Oversight, Capital Risk Oversight, etc.) that support Finance.
Here’s how you’ll operate:
- Serve as a credible advisor and partner representing the Compliance organization to the Finance business teams, FRM and other independent risk functions
- As part of a growing Compliance advisory team, assess, enhance and execute the requirements of the CMP for Finance
- Maintain subject matter expertise and gain industry insight in applicable laws, regulations, and regulatory guidance
- Develop and leverage strong relationships with business leadership, Legal, FRM, and other stakeholders
- Coordinate with cross-functional teams to accomplish shared objectives
- Support the management and manage tracking and reporting of compliance issues across a range of forums
- Anticipate, identify and escalate risk scenarios early and propose potential mitigations
- Create and monitor ongoing engagement model with certain independent risk functions to ensure Capital One’s compliance with applicable laws, regulations, policies and procedures
Basic Qualifications:
- Bachelor’s Degree or Military experience
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At least 3 years of prior working experience with management consulting, investment banking or financial services companies
Preferred Qualifications:
- MBA, JD or CFA
- Ability to thrive in a fast-paced, project-driven environment and handle multiple assignments simultaneously
- Proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a matrix organization
- Ability to research, read and interpret regulations, and advise the business
- Results-oriented, hard-working, curious and comfortable with frequent change
- Possess judgment to analyze, evaluate, develop and effectuate solutions to complex problems
- Team player with creativity, resourcefulness, ambiguity and strong interpersonal skills
- Familiarity with and the ability to develop a thorough working knowledge of banking and securities laws and regulations (e.g., ’33 and ’34 Act, Regulation AB, etc.)
- Self-starter that’s willing to operate with minimum amount of supervision (and/or remote supervision), but also as an active member of a small dynamic compliance team
- Strong organizational, writing and communication skills
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
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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).