Manager, Regulatory Practices - Enterprise Services Risk
The Enterprise Services Risk organization is expanding with a focus on attracting innovative, pioneering, collaborative, and highly skilled professionals. We operate at the forefront of risk management, providing support for novel and developing technologies, as well as critical business strategies. Diverse perspectives and experiences are valued as we work to redefine the financial sector.
As a Risk Manager within the Enterprise Services Risk Regulatory Practices team, you will apply your analytical and delivery skills to our highest profile Regulatory engagements and projects. You will partner across Enterprise Services to develop and support successful, forward-thinking Regulatory engagements and reporting in a manner that supports innovation, protects our customers, shareholders, and associates, and considers themes, opportunity patterns and scale across the function and enterprise. You will partner with peers and senior leaders, in the first, second and third lines of defense to drive the best outcomes for the ES audit and regulatory engagements in an open, collaborative environment where new ideas and solutions are both welcomed and rewarded. You will provide proactive and on-going regulatory intelligence to our Enterprise Services divisions to ensure they remain well-managed, including autonomous coordination and drafting of internal communications and briefs for regulator meetings, attending meetings with regulators, drafting meeting notes, updating regulators on recent developments, updating reporting and ensuring completion of any follow up actions after the meetings.
Enterprise Services Risk team members are experienced, well-trained, progressive individuals operating within a highly collaborative team environment to deliver value-added risk services to our business partners. The successful candidate will be a highly-motivated Risk Management professional with excellent leadership, project management, analytical, planning, collaboration, strategic thinking and communication skills.
**Responsibilities: **
- Overseeing and reviewing regulatory responses across the full lifecycle, including facilitating integration and prioritization of various regulatory commitments into proactive risk management effort, in collaboration with other risk partners
- Contributes to a readiness assessment of the end to end process being examined to identify any control gaps or weaknesses, potential issues and potential emerging risks.
- Operating within a highly collaborative team environment, manage time with a sense of urgency to ensure regulatory deliverables are completed within established timeframes
- Drive consistency and automation in all reporting and processes
- Monitor corrective action of findings and risks, and ensure implementation by deadlines
- Provides proactive and on-going regulatory intelligence to the divisions to ensure they remain well-managed
- Support regulatory engagement planning, management, and reporting across all ES functions
- Guided by team leadership, participate in regulatory engagements through documentation and quality assurance review of evidence (submitted to the examiners)
- Assist with documentation on finding remediation efforts (including iterative milestone deliverables and overall finding completion), manage list trackers, and evidence
- Provide proactive insight into upcoming engagements using intel gathered throughout the process (including historical insight)
- Prepare senior leaders who meet regularly with Regulators to provide an update on performance, progress on large initiatives, and provide deep dives as needed to address questions or provide additional context
- Develop and maintain the methodology, engaging the right business leaders and resources, and driving the prep work to meet with and respond to regulators
- Utilize a proactive and consistent approach relying on clear milestones, expectations, roles and responsibilities, along with risk intelligence, strategic direction, and collaboration
- Ensure that processes are well managed through the creation and maintenance of process documentation and tools
- Support risk management reporting and communications
Basic Qualifications:
- High School Diploma, GED or Equivalent Certification
- At least 4 years of experience in Risk Management, Process Management, Project Management, or a combination of these
- At least 3 years of internal audit or regulatory exam experience
Preferred Qualifications:
- Bachelor's Degree or Military Experience
- Risk Certifications (CRISC, CISM, CRCM, CIPP, ABA Risk Mgmt Certification)
- At least 5 years of experience supporting, partnering and interacting with internal stakeholders
- At least 2 years of Financial Services industry experience
- At least 3 years of Exam relationship, engagement, and planning experience
- Experience working in the fields of technology or cyber
- At least 3 years of Risk Management experience within the financial services industry
- Operational familiarity with ES functional areas including Technology, Digital, Workplace Solutions, Enterprise Supplier Management, Brand, Corporate Development and Capital One Growth Ventures
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.
Chicago, IL: $149,800 - $171,000 for Manager, Cyber Risk & Analysis
McLean, VA: $164,800 - $188,100 for Manager, Cyber Risk & Analysis
New York, NY: $179,700 - $205,100 for Manager, Cyber Risk & Analysis
Richmond, VA: $149,800 - $171,000 for Manager, 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 the Capital 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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).