Director, Risk, Audit & Compliance

Employment Type

: Full-Time

Industry

: Accounting



West Creek 7 (12077), United States of America, Richmond, Virginia

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Director, Risk, Audit & Compliance

The Governance, Risk, and Compliance (GRC) function drives quality, efficiency, and effectiveness of Risk and Compliance within the Enterprise Supplier Management (ESM) organization. As a Director of GRC, you will be responsible for crafting the strategic direction for the GRC organization, and providing advice and guidance to the senior leaders on potential risks. More specifically, the focus of this role will be on evolving the strategic ways we manage, communicate, and effectively drive a robust Risk culture. You will act as a leader working across the ESM organization and with enterprise risk groups to develop and implement risk management solutions to ensure continued stability and success. You will be expected to drive organizational change to better manage risk in an open, collaborative environment where new ideas and solutions are welcomed. In this role, you will apply your strategic leadership, proactive thinking, problem solving, collaboration and communication skills and the ability to adapt to change quickly. 

The ideal candidate has excellent organizational, and communication skills. Qualified candidates will have experience dealing with auditors, preferably in the financial services industry. Candidates should also have experience interacting with and influencing senior executives. The role demands a focused individual who thrives in a fast-paced, dynamic, and collaborative team environment. Candidates must also display strong judgment, leadership, and integrity.

Additional responsibilities include:

  • Partner, interact and support internal delivery teams and provide compliance guidance on Policies, Standards, and Procedures

  • Enhance the risk strategy to minimize the overall impact to the broader organization of ~350 people

  • Effectively collaborate with and challenge functions within ESM, 2nd line of defense (Enterprise Data Management, Compliance, Corporate Third Party Risk Management, IA Third Party Management, etc.), and 3rd line of defense (Audit)

  • Support audits, regulatory exams and enterprise risk initiatives 

  • Perform review of S control designs for gaps and weaknesses and drive control improvement

  • Analyze information to proactively identify risks, trends, and process improvements; support reporting on risk topics to management;

  • Staying current on the changing regulatory environment and understand the impacts to the organization 

  • Provide oversight and guidance during risk assessments (New Processes, Risk and Control Self-Assessments, etc); and

  • Participate with internal team members and contribute to continuous improvement of risk management practices

  • Basic Qualifications:

  • Bachelor’s Degree

  • At least 5 years of compliance or risk management experience in technology, financial services, procurement or supply chain organizations

  • At least 4 years of People Management experience

  • Preferred Qualifications:

  • 5+ years of experience with the regulatory framework governing the financial services industry

  • Excellent verbal and written communication skills across levels of leadership

  • Ability to manage multiple projects while maintaining superior results

  • Ability to work cross-functionally, individually, and to lead work among a team

  • Execution oriented and a self-motivator

  • Passion and expertise in governance, risk, and compliance disciplines, with an ability to be confident, respectful, and articulate when registering dissenting or unpopular opinions

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

    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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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 . 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

    Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

    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).


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