Manager Conflicts of Interest COI
Manager Conflicts of Interest COI
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Job Description
Capital One a Fortune 500 company and one of the nations top 10 banks offers a broad spectrum of financial products and services to consumers small businesses and commercial clients. We nurture a work environment where people with a variety of thoughts ideas and backgrounds guided by our shared values come together to make Capital One a great company and a great place to work.
We are looking for a teammate to help the Ethics Office advance its mission to create an industry leading ethics program that provides our associates with the information and guidance they need to live our values and Do The Right Thing every day. As a Conflicts of Interest (COI) Manager within the Ethics Office you will be responsible for conducting and supervising comprehensive and complex COI analyses involving associate disclosures related to outside activities personal financial investments board positions and secondary employment among others. You will also support Ethics Office program initiatives involving awareness and outreach. Specific responsibilities include:
Conducting assessment factfinding and interviews supporting the analysis and resolution of COI disclosures from current employees and job candidates;
Handling sensitive and escalated COI disclosures directly;
Providing oral and written briefings for senior leadership up to and including the Chief Ethics Officer that are thoughtful thorough and concise;
Managing the development of enterprisewide certifications to promote disclosure of potential conflicts and programs to monitor adherence to conditions designed to mitigate conflicts;
Implementing case management best practices and technological solutions to gain efficiencies and scale the COI Disclosure program;
Establishing and maintaining strong working relationships with key partners across Compliance Legal Human Resources and Risk Management as well as within the lines of business;
Supporting the development and presentation of key metrics for Ethics Program reporting; and
Prioritizing among multiple tasks and responsibilities in a fastpaced environment while maintaining collaborative relationships with various partners.
Candidate Profile:
The ideal candidate is an experienced ethics or compliance professional who works collaboratively as part of a team and is an empowering people manager. The successful candidate is also an active listener and critical thinker possesses excellent written and oral communication skills and has experience spotting issues and proactively identifying thoughtful wellreasoned solutions. This individual is selfmotivated flexible in responding to changes in assignments and job responsibilities and maintains positive working relationships with business partners. Finally this individual must be dedicated to complying with all organizational and professional ethical standards.
Basic Qualifications:
Bachelors Degree or Military Experience
At least 7 years of experience in Corporate Ethics or Government Regulatory Enforcement or Risk Management or Compliance programs;
Preferred Qualifications:
Juris Doctorate
At least 5 years of experience in Ethics Risk or Compliance Programs with a focus on analyzing conflicts of interest;
At least 3 years of experience working in financial services;
Experience collecting analyzing and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives;
Experience with Ethics programming and helplines or other investigation case management systems;
Certified Compliance and Ethics Professional (CCEP);
Experience with program management change management or maintenance of program governance documents;
Proficiency in the Google Suite Google Docs Slides Sheets Keep or Microsoft equivalent
Excellent written and verbal communication skills
At this time Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum fulltime 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 parttime roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean VA: $146100 $166700 for Compliance Advisor ManagerCandidates 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 candidates 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 wellbeing. Learn more at theCapital One Careers website. Eligibility varies based on full or parttime status exempt or nonexempt 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 drugfree 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 23A of the New York Correction Law; San Francisco California Police Code Article 49 Sections; New York Citys Fair Chance Act; Philadelphias 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 ator via email at . 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 Ones recruiting process please send an email to
Capital One does not provide endorse nor guarantee and is not liable for thirdparty products services educational tools or other information available through this site.
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).
Required Experience:
Manager
Employment Type
Full-Time
