Director – Regulatory Risk and Governance

Director, Regulatory Risk and Governance

Capital One is one of the fastest growing organizations in the world today.  As Director for Regulatory Risk and Governance, you will apply your risk management skills and lead a team to assess and implement new and updated laws and regulations that affect Enterprise Services (ES); you will also ensure ongoing regulatory applicability to and compliance of business processes and controls. As an ES Risk Director in the first line of defense, you will partner with compliance, legal, and line of business professionals to review and assess the applicability of a broad range of new or changed laws and regulations to the highly diverse ES businesses, including digital products and services, facilities, security, procurement, external affairs, investment ventures, software, technology, and brand. In doing so, you will lead a team to be responsible for investigating business practices, communicating impacts to business partners, and driving implementation of necessary changes in processes and controls. You will develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. Your contributions will drive organizational change through risk identification, measurement, analysis and reporting in order to better manage the company’s risk in an open and collaborative environment.

This role will also be responsible for big picture thinking, strategic direction, and partnering across teams to develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. Your contributions will drive organizational change through risk identification, measurement, analysis and reporting in order to better manage the company’s risk in an open and collaborative environment.  This position is highly visible and requires an expert with a proven ability to work independently in a fast-paced environment and who can begin contributing immediately.  Proficiency in risk management is key to success in this role.  The successful candidate will be an experienced risk management professional who understands the diverse ES businesses, with strong analytical, planning, strategic thinking, organizational and communication skills.

Responsibilities:

• Drive and coordinate work related to assessing, implementing, and ensuring ongoing compliance with US and international laws and regulations, working with the first and second line of defense teams, to ensure effective collaboration within the team and across stakeholder groups.

• Lead a team to review and assess changes in laws and regulations for impacts to the ES lines of business, investigate business practices and communicate regulatory impacts to business partners, and drive implementation of changes in process and controls necessary to ensure compliance with changes in laws and regulations.

• Lead a team to participate in control reviews as it relates to regulatory applicability and manage new regulatory applicability applied to ES lines of business to recommend and gain alignment on controls to ensure ongoing compliance to changes in laws and regulations.

• Be a trusted advisor and drive effective and relevant business, technology and cyber risk conversations.

• Stay current on the changing regulatory environment and understand the impacts to our ES lines of business.

• Assist and drive project and program delivery, including project and process management, reporting, engagement in senior leadership meetings, drafting and reviewing materials for Senior Management.

• Write and revise documents such as policies, standards, procedures, and guidelines. Develop and enhance processes, tools, templates, and job aides.  Draft, contribute to, edit, and deliver presentations that aid in the design, development, refinement, and usage of risk methods.

• Participate in risk and other management forums and contribute to continuous improvement of risk and project / program management practices.

• Support direction, manage expectations, and lead cross-functional teams through various initiatives, including oversight of third party resources.

• Support interactions with Internal Audit and Regulatory agencies related to our work, as applicable.

• Participate in and execute other special projects for the team, as needed.

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 7 years experience in legal, compliance, regulatory, audit, or risk or a combination of these

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

• At least 4 years of experience in cybersecurity, technology, international risk or a combination of these

• At least 4 years of project or process management experience

• At least 4 years of People Management experience

• At least 2 years of experience implementing an International program or leading an International or Country Risk Management program

Preferred Qualifications:

• At least 10 years experience in legal, compliance, regulatory, audit, or risk or a combination of these

• At least 8 years of experience in cybersecurity, technology, international risk or a combination of these

• At least 8 years of experience performing information security or technology risk identification and assessments, such as Control Self Assessments (CSAs), or completing assessments within established industry risk frameworks

• At least 8 years experience performing data analysis in support of internal risk assessments and control design and operating effectiveness reviews

• At least 5 years of experience performing data analysis in support of cybersecurity assessments and control design in a cloud environment (preferably AWS)

• At least 5 years of project management experience leading cross-functional projects and programs

• At least 3 years of Financial Services industry experience, including familiarity with regulatory practices

• Cybersecurity and technology risk and/or project management certifications such as Certified Information Systems Security Professional (CISSP), Certified Information Security Manager (CISM), AWS Security certification, Certified Information Systems Auditor (CISA), Certified in Risk and Information Systems Control (CRISC), Project Management Professional (PMP) Certification, or Masters Certificate of Project Management (CPM) or related certifications

• Excellent verbal presentation and written communication skills to confidently interact at all levels of the organization (e.g., technology/cyber organizations, enterprise business stakeholders, and executive leadership)

• Excellent problem-solving, analytical and critical thinking skills to effectively respond to shifting priorities, demands and timelines

• Consulting experience with a Big 4 firm

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.

McLean, VA: $226,000 - $257,900 for Director, Cyber Risk & AnalysisRichmond, VA: $205,400 - $234,400 for Director, Cyber Risk & AnalysisNew York, NY: $246,500 - $281,300 for Director, Cyber Risk & Analysis

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.

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.

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).