Regulatory Change Management Associate

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: January 05, 2017
  • Reference ID: R16588
West Creek 2 (12072), United States of America, Richmond, Virginia

Regulatory Change Management Associate

TITLE: Regulatory Change Management Associate

LEVEL: Associate


Effective and efficient regulatory change management is critical to identifying and managing compliance risk and meeting customers’ and regulators’ expectations. The New and Updated Legislative Analysis Workstream (“NULAW”) team is looking for a self-motivated, proactive, and detail-oriented Risk Management Associate to support regulatory change management processes across multiple dimensions and areas. As part of the Compliance Governance Oversight, and Validation (“CGOV”) function within Corporate Compliance, the NULAW team has primary responsibility for program administration related to regulatory change management, including establishing program expectations, managing and monitoring many aspects of workflow, quality assurance, training, and program reporting.


  • Assist in developing and then manage a quality assurance process whereby Compliance Officers evaluate Compliance Advisor assessments of new regulatory changes
    • Develop and administer sample selection methodology and program tools
    • Engage with the Risk Assessment, Data Analytics, and Reporting (“RADAR”) team to drive efficient, sample selection
    • Coordinate with Compliance Officers to ensure timely completion of QA activities aligned to program expectations
    • Develop and deliver training, and respond to stakeholder requests and inquiries
    • Develop and manage program reporting and analysis, including identification of process and training gaps and opportunities
  • Support NULAW Senior Associate and Senior Manager in developing other NULAW program process health metrics, reporting, and analysis
  • Serve as backup and assist in executing day-to-day BAU NULAW functions (e.g., monitoring the NULAW mailbox, responding to customer inquiries and requests, processing new Regulatory Changes, etc.) when needed
  • Assist with additional Change Management governance, audit requests, and other responsibilities as required


  • High School Diploma , GED or equivalent experience, or Military experience
  • At least 2 years’ experience in Compliance Management, or at least 2 years experience in Risk Management, or at least 2 years of Process Management experience
  • Proficiency with Microsoft Office

Preferred Qualifications:

  • Bachelor's Degree
  • 1 year of quality assurance experience or 1 year of quality control audit experience
  • Proficiency with financial services consumer laws and regulations

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

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