Full-Time

Senior Manager

Audit Operations and Reporting, Regulatory Relations

Confirmed live in the last 24 hours

Capital One

Capital One

10,001+ employees

Offers diverse financial products and services

Fintech
Social Impact
Financial Services

Senior, Expert

No H1B Sponsorship

Plano, TX, USA + 2 more

More locations: McLean, VA, USA | Richmond, VA, USA

Hybrid role requiring 2-3 days in-office presence.

Category
Legal
Risk & Compliance
Legal & Compliance
Required Skills
Product Management
Data Analysis
Requirements
  • Bachelor’s Degree or Military experience
  • At least 7 years experience in auditing, data analytics, compliance, project management or a combination
  • At least 2 years of experience in people management
  • 9+ years of professional work experience (preferred)
  • 3+ years of experience in Process Management, Risk Management, Product Management, or a combination (preferred)
  • At least 4 years of experience in people management (preferred)
  • Proficient in MS Office or Google Suite (preferred)
  • Experience planning ahead and managing time effectively (preferred)
  • Excellent written and verbal communications (preferred)
  • Excellent organizational skills (preferred)
Responsibilities
  • Manage and coordinate regulatory exams and requests across the Audit organization including organizing responses, meetings and workflow of reviews.
  • Manage relationships with partners in Regulatory Relations, and provide routine status updates to key stakeholders, including Audit Leadership and the Audit Committee.
  • Manage the Matters Requiring Attention (MRA) governance forums including obtaining, reviewing, and validating materials, and leading the discussions with leaders across the Audit department.
  • Oversee Audit issue management through the lifecycle from creation, management remediation, Audit validation and closure.
  • Proactively monitor the audit universe and plan for changing risks and maintain awareness of changes to the internal and external business environment.
  • Track, monitor and report on open MRAs and Audit issues as well as Audit’s progress in completing the Audit Plan.
  • Facilitate the annual and ongoing Audit Skills assessment process and SME Program maintaining quality data and developing associated reporting and ongoing monitoring dashboards for management.
  • Design and execute efficient internal operational processes. Develop and maintain related methodology, guidance and governance documentation.
  • Leverage systems, data and analytical tools to execute tasks and perform analysis with a focus on data quality and integrity. Assist team in developing visualizations of data for management and audit committee reporting.
  • Collaborate with various Audit HQ Leaders, LOB Audit teams, Audit Chief of Staff and support partners on various cross functional and business critical efforts on behalf of AOR.
  • Monitor Audit communication channels including email, slack, internal webpages to provide responses to department questions and requests and manage processes for proactively sharing of information with stakeholders.
  • Help to establish and monitor team Goals, Objectives and Key Results, and report out results and achievements, next steps, and support required at an executive level.
  • Support change management, and monitoring of team operations to ensure we remain well-managed and consistent in our processes and monitor execution of AOR owned internal controls.
  • Oversee team governance structure and operating model including resource planning, Audit Team interaction model, project/initiative tracking and prioritization (i.e. managing backlog, identifying and resolving blockers and cross-team dependencies) for Government Relations and Operations Management.
  • Define and execute Government Relations and Operations Management routines, including, but not limited to administration of strategy meetings, team ceremonies, and other team gatherings.
  • Supervise and coordinate work assignments amongst team members. Provide timely feedback, on-the-job training, and coaching to audit staff and direct reports.

Capital One offers a range of financial services, including credit cards, savings accounts, car loans, and business checking accounts, primarily in the United States. The company focuses on user-friendly banking solutions with no fees or minimums, making it easier for customers to manage their money. Capital One stands out from competitors with its commitment to financial inclusion and literacy, partnering with organizations to provide educational resources. The goal is to create a more accessible financial system for everyone.

Company Stage

IPO

Total Funding

$15.9M

Headquarters

McLean, Virginia

Founded

2014

Simplify Jobs

Simplify's Take

What believers are saying

  • Partnership with Minna Technologies enhances customer experience with subscription management tools.
  • Collaboration with Worldpay improves payment security and efficiency for merchants.
  • Capital One's financial empowerment initiatives support community financial stability programs.

What critics are saying

  • Increased competition in subscription management tools may dilute Capital One's first-mover advantage.
  • Departure of key personnel like Joe Rodriguez could affect risk management oversight.
  • Focus on mobile banking innovations may expose Capital One to cybersecurity threats.

What makes Capital One unique

  • Capital One offers user-friendly banking with no fees or minimums for checking accounts.
  • The company emphasizes financial inclusion through community partnerships and philanthropic efforts.
  • Capital One's mobile app is a model for secure, user-friendly digital banking.

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Benefits

Medical, Dental, & Vision coverage

Onsite Health Centers

Prescription saving with network of local pharmacies

Stock Purchase Plan

Education Assistance

401(k)

Flexible Spending Accounts

Life and Disability insurance

Generous paid time off + corporate & floating holidays

Registered dieticians on site, cooking classes and free virtual fitness classes

Employee Assistance Program