NYC 299 Park Avenue (22957), United States of America, New York, New York

Director (Assistant General Counsel) - Capital Markets

The Capital One Legal Department is seeking an experienced attorney to provide business, transactional and regulatory counsel support for its Capital Markets Legal team, including for a variety of different public and private securities transactions, equity and debt capital markets, and related projects, all for one of the top 10 banks in the country. This position includes the opportunity to play a role in corporate-wide projects and initiatives and work with senior management and teams across the enterprise.

The Capital Markets Legal team works on complex and novel transactions and projects. We are seeking candidates with securities experience who demonstrate a willingness to learn, have an ownership mentality and exhibit a can-do attitude. Strong legal and analytical skills, an ability to navigate unique legal and business situations and the flexibility to simultaneously manage a wide range of projects are essential. Successful candidates will be able to work closely with partners across the company to identify legal and reputational risks, interpret applicable laws and regulations, deliver grounded legal assessments and provide thoughtful and practical solutions and recommendations. The role also includes managing outside counsel and trade/industry organization representation. 

Responsibilities Include:

• Providing legal and strategic advice to the Capital Markets business, with a focus on pubic and private securities transactions, as well as derivatives

• Advising on business initiatives implementing regulatory changes and requirements 

• Providing legal support and working closely with the Legal Department’s Enterprise Regulatory Advisory Group regarding impacts of proposed laws and regulations as well as applicability and impacts associated with newly enacted laws and regulations relevant to corporate finance

• Managing the engagement of outside counsel to assist on projects, when necessary

• Participating in regulatory examinations and preparing responses for inquiries relating to internal processes and procedures; collaborating with appropriate stakeholders to develop and implement any necessary remediation plans  

• Assisting with various legal duties and/or projects including legal regulatory matters and legislative developments

Skills and experience:

• Apply structured, logical thinking to analyze issues, answer inquiries, evaluate risks and solve problems in an integrated way relative to applicable laws, rules, regulations and precedents

• Build collegial and effective relationships with business partners 

• Rapidly synthesize new information and make quick, well-grounded decisions

• Balance the needs of the business partners with a broader understanding of the objectives of Capital One as a whole

• Lead, oversee and complete projects with minimal direction

• Strong oral and written communication skills, including the ability to communicate detailed and complex information to others at all levels of the enterprise

• Strong organizational skills with impeccable attention to detail 

• Ability to work in a fast-paced environment with minimal supervision

• Ability to prioritize and manage a significant volume of work on a broad array of topics with multiple and simultaneous deadlines

• Comfort tackling issues that may not have a clear answer 

• Being curious, willing to learn and proactively seek to solve issues 

Basic Qualifications: 

• Juris Doctorate from an accredited law school

• Active member in good standing of at least one state bar

• At least 7 years of experience in a law firm, in-house legal department, or a combination, with a focus on corporate finance, securities transactions (including equity and debt capital markets), and a working knowledge of derivatives

Preferred Qualifications: 

• 8+ years of experience working in corporate finance, securities, debt and equity capital markets transactions, and listed and OTC derivatives

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

New York City (Hybrid On-Site): $233,100 - $266,000 for Director, Asst General Counsel

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.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 [email protected]. 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 [email protected]

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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).