Director, Compliance Governance

Director, Compliance Governance
The Compliance and Ethics organization, within the Enterprise Risk Organization, is seeking a Director to help lead key initiatives managed within the Compliance Governance team. This role will also interface with key enterprise-wide initiatives (e.g. Generative AI, International risk management) representing the Compliance Governance team to identify where additional enhancements to our Compliance Management Program (CMP) policies, standards and/or procedures are needed to effectively manage Compliance risk.
We are seeking a dedicated, disciplined, process or program risk professional who excels in a team and matrixed environment. The successful candidate will be self-starting, entrepreneurial and collaborative. This individual will have experience in risk management, improving processes, identifying with the perspective of our customers, and be able to connect the elements of the CMP to the regulatory environment and to existing business processes.
This individual must be able to effectively communicate and influence partners across the company and across multiple levels of the organization. Strong problem solving and analytical skills, attention to detail, process/project management capability, and results driven are essential to succeeding in this role. This individual should feel comfortable working with quantitative and qualitative information and can move from the "gray" area to grounded recommendation in an organized and transparent manner.
Responsibilities include, but are not limited to, the following:

• Play a key role in contributing to the effective design and delivery of specific initiatives intended to enhance the existing Compliance Management Program
• Collaborate with our stakeholder community (e.g. AML, Compliance Advisory & Testing, Enterprise Risk Management, Operational Risk Management, Audit, Business Risk Offices, and front line process owners) to enhance existing or establish new governance practices
• Leverage data and analytics to inform outcomes and proactively identify opportunities for improvement
• Actively support internal and external audits and exams
• Coordinate with cross-functional/matrixed performers to accomplish shared objectives
• Anticipate/identify/escalate problems early and propose potential mitigations
• Understand key requirements from external entities such as auditors and regulators
• Conducting substantive reviews; advising on mitigating conditions, as needed; and delivering advice and guidance to leadership
• Support Compliance Management Program initiatives through awareness, education, and outreach; perform program-related monitoring activities; engage in data analytics to inform the program; and provide advice and counsel.
• Identify and drive changes and challenges to current processes, procedures, and controls to improve and enhance risk governance.
• Formulate and implement solutions, leveraging technology as much as possible

The core competencies include:

• Strategic and analytic orientation - a proven track record of decision making and problem-solving based on available data
• Excellent verbal and written communication skills
• Highly collaborative orientation and strong team player who places the best interests of the organization above personal objectives
• Ability to establish credibility, trust and support within all levels of the organization
• Aptitude for synthesizing complex issues into a clear and concise summary
• Proactive and results-oriented
• Active listener and critical thinker
• Excellent written and oral communication skills
• Spotting issues and proactively identifying thoughtful, well-reasoned solutions; and has excellent judgment.
• self-motivated, flexible in responding to changes in assignments and job responsibilities, and maintains positive working relationships with business partners.

• Prioritizing among multiple tasks and responsibilities in a fast-paced, dynamic environment, while maintaining collaborative relationships with various partners.

Basic Qualifications:

• Bachelor's Degree or Military experience
• At least 7 years of experience in compliance, legal, audit, or risk management
• At least 7 years of experience supporting, partnering or interacting with internal business clients

Preferred Qualifications:

• Masters' degree
• At least 7 years previous experience in Banking / Financial Services, Government, FinTech, Management Consulting or other dynamic field
• At least 7 years of experience in Project or Process Management
• Experience with program management, change management, maintenance of program governance documents or a combination thereof
• Proficiency in the Google Suite (Google Docs, Slides, Sheets, Keep) or Microsoft equivalent

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: $200,100 - $228,400 for Director, Compliance
New York, NY: $218,300 - $249,100 for Director, Compliance
Plano, TX: $181,800 - $207,500 for Director, Compliance
Richmond, VA: $181,800 - $207,500 for Director, Compliance
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 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.
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