Director, Regulatory Compliance Risk - Enterprise Services

Capital Ones technology transformation has presented an exciting opportunity to usher in leading edge innovative approaches to compliance risk management in close partnership with our business clients. We are increasingly using technology to further our most dynamic innovative products which calls for new creative ways for us to think about compliance and risk in a way that helps the business succeed safely and quickly. The Enterprise Services (ES) Division is at the center of these activities driving Capital Ones strategic agenda.

This position supports the second line compliance function for Capital Ones Enterprise Services Division. Enterprise Services is an innovative and highly dynamic division of Capital One that includes a range of programs such as our enterprise GenAI program our Software business our tech organization and our enterprise data products and platforms organization. Enterprise Services also leads many of our efforts internationally and includes Enterprise Supplier Management the first line team that manages suppliers and vendors. This position reports to the Enterprise Services Compliance Officer (CO).

The Director ES Compliance will advise business leaders on the development and delivery of products and services manage a team of dedicated compliance professionals and oversee the administration of Capital Ones Compliance Management Program for relevant Enterprise Services functions. The Director ES Compliance will also advise the CO and regularly engage with leaders in other parts of Compliance (such as Privacy Fair Lending and Anti Money Laundering (AML)) Risk Management Audit Legal and Regulatory Affairs.

Key Responsibilities:

• Manage the maintenance evolution and continuous improvement of the compliance risk management function for assigned components of Capital Ones Enterprise Services division by providing support advice and counsel on complex compliance risk issues

• Serve as an authority within Enterprise Services for relevant and evolving compliance expectations laws and regulations and the impact of changes on the business

• Actively promote a culture of compliance risk management and balanced risk taking by for example ensuring the business has appropriate monitoring in place to identify process breakdowns and advising the business to ensure comprehensive corrective action when issues arise

• Oversee the development and execution of major portions of the Compliance Management Program which ensures that Capital One appropriately identifies manages and oversees compliance risk through sound governance rigorous controls and testing and thoughtful risk escalation

• Work collaboratively with business partners and other support groups to ensure the companys products practices and services all remain within Capital Ones Compliance risk appetite

• Build strong partnerships with other Enterprise Services risk advisors (Legal and business risk officers) and Compliance peers responsible for compliance risks that apply across businesses (such as Privacy Fair Lending and AML) to ensure consistent and comprehensive guidance to the business

• Report compliance results to senior management and the Board of Directors as appropriate

• Monitor work plans for remediation of any internal or regulatory findings within the business area of responsibility

• Effectively lead and oversee the management of people processes including recruiting performance management training and development

• Display a high degree of emotional intelligence foster good team dynamics respond effectively to employee concerns and maximize the potential of team members

Competencies:

The ideal candidate will be a seasoned compliance professional with strategic leadership skills a forward thinker and a proven ability to operate effectively in a complex highlyregulated environment. Candidates should have a passion for supporting the business in providing financial products and services that improve our customers lives while also complying with all applicable regulatory requirements and expectations.

• Leadership

  • Demonstrated ability to drive and execute the strategic vision for the Enterprise Services Compliance organization while providing meaning context and motivation to execute strategic priorities

  • Understands and embraces the power of technology analytics and automation to drive wellmanaged execution of core compliance responsibilities

  • Able to lead a team through organizational changes and drive innovation

• Strong Business Judgment

  • Strong business judgment and the analytical acumen to evaluate complex multidimensional risks and formulate appropriate compliance recommendations and advice

  • Proven capability to influence and build consensus among peers and leadership leveraging sound logic analysis and intellectual rigor

• Communication

  • Highly developed interpersonal presentation and communications skills (both verbal and written)

  • Ability to communicate effectively at all levels of the organization

Basic Qualifications

• Bachelors degree or military experience

• At least 8 years of legal compliance risk management or regulatory experience within consumer financial services

• At least 5 years of people management experience

Preferred Qualifications

• Juris Doctor or Masters Degree

• At least 8 years of people management experience

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.

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 candidates offer letter.

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.

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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).