Job Abstract

Senior Associate, Compliance Governance

Effective and efficient compliance governance is critical to identifying and managing compliance risk, and meeting customers’ and regulators’ expectations. Compliance Ethics & Investigations is looking for a self-motivated, proactive, and detail-oriented Sr. Associate to support regulatory change management, quality assurance, and other governance processes.

As part of the Compliance Governance Oversight, and Validation (“CGOV”) function within Compliance Ethics & Investigations, our team has primary responsibility for program administration related to regulatory change management, quality assurance, oversight of issue and event management, and support of the Compliance Department’s use of the Fuse system of record. It’s an exciting time for the team, as new technologies and new ways of thinking present tremendous opportunities to reinvent how we manage risk.

JOB DESCRIPTION:

The Compliance Governance Sr. Associate plays an essential role in managing Fuse, Capital One's Governance, Risk, and Compliance ("GRC") system of record, regulatory requirement management , and reporting workstreams. Working closely with Compliance Advisors, Lines of Business, and Legal stakeholders the Compliance Governance Sr. Associate will need strong networking skills to ensure a well-managed and effective process. 

RESPONSIBILITIES:

• Monitoring and processing incoming Requirement Changes in the GRC, to ensure they are directed accurately and timely to relevant Compliance Advisors and Business Areas for evaluation and action

• Acting as the primary point of contact and process Subject Matter Expert for customers and stakeholders by managing the Requirement Management mailbox and responding to questions and requests

• Effectively and efficiently managing Applicability and Implementation workflow through the GRC dashboards to ensure timely escalation on required tasks

• Maintaining process job aids and documents in a continual state of readiness for process use or review by Audit

• Assist in the preparation of reporting and metrics development

• Act as the primary point of contact between the Requirement Management team and Legal regarding any operational questions 

• Coordinate with the GRC leads on updates, changes, and releases to the system of record

• Proactively identify process gaps or risks, as well as potential enhancements

• Implement/assist in implementing changes to the GRC, as appropriate

• Monitor & analyze data quality, and follow up on potential concerns or trending

• Support additional governance activities, audit requests, and other responsibilities as required from the broader team

BASIC QUALIFICATIONS:

• Bachelor’s Degree or Military experience

• At least 2 years experience in Compliance Management, Risk Management, or Process Management

Preferred Qualifications:

• At least 4 years experience in Compliance Management, Risk Management, Quality Assurance, or Process Management

• Familiarity with laws and regulations applicable to financial institutions

• Process Management or other relevant professional certifications

• Strong interpersonal skills and customer focus

• Proficiency with Google Suite (Studio, Drive, Slides, Docs, and Sheets)

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com

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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).