Job Abstract

Senior Associate, Capital Markets and Risk

Capital One is seeking a motivated professional for a Senior Analyst position within the Finance Risk Management (FRM) team. FRM associates are engaged and insightful risk management partners working across the Finance organization to execute robust and proactive risk management programs, improve effectiveness and efficiency of operation while reducing risk and influencing risk stakeholders, risk offices, compliance, internal audit, and regulators. FRM strives to enable a strong culture of risk management across Finance that is adaptable to a changing environment.

A successful candidate for this role will have strong critical thinking and analytical skills, be a proactive problem solver with the ability to operate in white space, and have strong communication and presentation skills with the ability to clearly articulate complex topics both orally and written to a wide variety of audiences. The candidate should be a well-organized, self-starter who is comfortable functioning autonomously, taking end-to-end ownership of work streams, ensuring all deliverables are completed timely, and leveraging their subject matter knowledge to synthesize all available information to influence our partners to make grounded, risk-based decisions.

General Responsibilities:

• Support the Asset & Liability Management team/process as primary risk advisor, to include all associated risk management activities, analysis, effective challenge and advocacy 

• Support the Qualified Financial Contracts (QFC) team/process as primary risk advisor

• Own and facilitate our adherence monitoring for Treasury's Mandatory Time Away program, coordinating with and providing updates to stakeholders and leadership

• Own and facilitate the Treasury New Initiative Program, coordinating monthly meetings/materials, obtaining non-objections from stakeholders, ensuring FRM has provided risk analysis where needed and generally tracking/monitoring progress

• Support FRM and for LAUNCH (new products review) initiative that have Treasury implications

• Own and facilitate our CFO Delegation of Authority and associated sub-delegations across Finance primarily, but also Commercial trading authorities and other related authorities that are maintained with different LOBs, but which overlap or impact Treasury Capital Markets    

• Partner closely with 1st line business teams as well as 2nd line oversight (e.g. Enterprise Risk Management, Operational Risk Management, Liquidity, Market & Credit Risk Office and Corporate Compliance teams) in challenging 

• Engage with 2nd line risk partners to ensure alignment on enterprise guidance, standards and policies 

• Collaborate with partner teams on issues and events investigation, root cause analysis and suggested remediation actions for teams/programs supported and provide guidance in remediating process breakdowns through problem solving and connecting the dots to engage proper stakeholders

• Build and maintain strong relationships with and provide risk guidance to our Treasury Capital Markets business partner teams in Finance and other partner teams

• Communicate effectively with and provide sufficient awareness and transparency to Treasury and FRM leadership on initiatives and BAU workstreams

• Assist in evaluating new regulatory changes and their impact on payment processes, then facilitate the incorporation of those changes where appropriate (control, procedures, etc.)

• Develop and maintain documentation to include procedures and presentation materials

• Support the design and implementation of controls in order to adequately mitigate risks and/or address regulatory requirements 

• Create and maintain formal process documents (e.g., procedures, diagrams/process flows, etc.) 

• Collaborate with broader horizontal FRM partner teams to provide risk analysis, insights and reporting metrics

• Support and facilitate Process Level Risk Assessments across business partner teams

• Assist business partners in preparation for and facilitate the execution of internal audits and regulatory exams, consult on management responses to issues, monitor timeliness of remediation and closure, and influence communication and interaction model with auditors and examiners

• Provide risk advisory support major projects and initiatives across various Treasury functions and horizontally across Finance

• Create and maintain formal process documents (e.g., procedures, diagrams/process flows, etc.) 

• Support FRM horizontal partner teams in execution of recurring and ad hoc risk activities--process level risk assessments, payments control testing, etc.

Basic Qualifications:

• Bachelor's degree or Military experience  

• At least 2 years experience in financial risk management, project management, regulatory compliance or combination

Preferred Qualifications:

• Master's Degree, CFA, CPA, FRM

• At least 3 years of experience in finance risk management or corporate treasury capital markets functions

• At least 3 years of experience in audit, compliance, risk management or project management, preferably in the finance field

• Experience with finance-related risk diagnostic analysis

• Experience with Google Suite, Tableau, Google Data Studio, Process flow chart software, Workiva, OpenPages 

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).