Senior Manager - Corporate Compliance Governance

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.

Senior Manager - Corporate Compliance Governance

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. Specifically, the role will support the CMP by:

  • Owning development and enhancement of the PRIME system of record for CMP-related activities and reporting needs including, but not limited to,
    • Ensuring the data model and relationships between content aligns to support the ability to identify and assess compliance risk impacts
    • Establishing mechanisms to conduct and capture risk ratings and impacts by Compliance Officer and Advisors on LOB specific risks, errors and risk assessments
    • Providing functionality that allows Compliance the ability to assign regulatory applicability to business lines
    • Working with Compliance Officers, Compliance Advisors, Lines of Business contacts and PRIME Administration to review and opine on enhancement requests and ensure CMP needs are retained as appropriate
    • Collaborating with enterprise-wide stakeholders to develop business requirements for establishing new processes or systems leveraged for executing the CMP (for example, redeveloping an automated regulatory change process or quality assurance processes)
    • Conducting routine data quality assessments to identify data anomalies or errors, identify root causes, and implement improvements
    • Supporting Compliance Officers and Advisors as they execute CMP activities by developing, maintaining, and occasionally conducting CMP systems training and providing real-time user support to Compliance associates
    • Ensuring related policies, standards, and procedures remain up-to-date and accurate

Basic Qualifications:
  • 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

Preferred Qualifications:
  • 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.

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