Senior Director Compliance

West Creek 3 (12073), United States of America, Richmond, Virginia

Senior Director Compliance

Compliance & Ethics (C&E) is seeking a Senior 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. Successful Senior Directors will create and implement innovative solutions to identify and mitigate potential risks to the company. They serve as change agents to effectively challenge business leaders on CMP initiatives through various interactions and engagements. This individual must be able to influence partners across the company at various levels, moving past ambiguity to grounded recommendations, and bring partners along the change curve to achieve desired outcomes.

A successful candidate will:

• Be self-starting, entrepreneurial, and collaborative to excel in a team environment

• 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 

• Possess the ability to effectively communicate and influence partners across the company and across multiple levels of the organization 

• Possess strong problem solving and analytical skills, attention to detail, project management capability, and results driven are essential to succeeding in this role

• Possess the ability to work with quantitative and qualitative information and move past ambiguity to grounded recommendations in an organized and transparent manner 

• Create and implement innovative solutions to identify and mitigate potential risks to the company and serve as change agents to effectively challenge business leaders on our CMP

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

• Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas

• Provide strategic program leadership, driving program alignment in a matrixed, highly complex regulated environment

• Design, develop, and manage risk management-focused project plans in a complex dynamic environment, revising needs to meet changing requirements

• Communicate program requirements across the organization, to both internal and external stakeholders as needed

• Build relationships and collaborate with key stakeholders to ensure delivery of commitments

Basic Qualifications:

• Bachelor’s degree or military experience

• At least 10 years of experience in compliance, risk management, legal or audit

• At least 7 years of experience supporting, partnering or interacting with internal business clients

• At least 5 years of people management experience

Preferred Qualifications:

• Master’s 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

• 7+ years of people management experience

• Experience working in the financial services industry

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 theCapital One Careers website. 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.

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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).