Risk Manager – Enterprise Services CMP Local Governance

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: December 17, 2016
  • Reference ID: R15983
West Creek 2 (12072), United States of America, Richmond, Virginia

Risk Manager – Enterprise Services CMP Local Governance

Title: Risk Manager – Enterprise Services CMP Local Governance

Level: Manager


Risk Managers at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across lines of business and have the opportunity to work with Executives to create and implement innovative solutions to identify and mitigate potential risks to the Company.

General Responsibilities

The Risk Manager performs a key risk management role (second line of defense), to help ensure corporate initiatives and lines of business processes comply with applicable laws and regulations. While working within the Compliance Management Program (CMP) framework, the Risk Manager will

-Serve as interdepartmental liaison, interfacing with lines of business, risk offices, compliance teams, and other areas of Risk Management.

-Gather data and reporting; perform initial analysis and evaluate data provided by team analysts.

-Design and implement internal governance processes to ensure consistent and efficient processes to improve the accuracy and integrity of the CMP.

-Provide effective challenge and guidance on compliance risk.

-Manage, implement, and deliver on a subset of the program deliverables.

Key Responsibilities

Specifically, the Enterprise Services (ES) Risk Manager is responsible for execution and management of processes required by the CMP and assists Enterprise Services (Tech, Brand, Digital, Workplace Solutions, Enterprise Supplier Management, Growth Ventures, and Information Security Risk Management) Compliance Advisors and Officers in meeting program requirements and effectively managing compliance risk through:

-Insightful and thorough evaluation, analysis, and reporting of compliance risks within Enterprise Services through Quarterly Compliance Reporting to the ES Risk Oversight Committees in addition to ad hoc reporting and analysis;

-Identify opportunities for how data can be used to effectively monitor compliance risk through data analysis, trend analysis, and metric reporting using MS Excel and Tableau;

-Ensuring consistent and efficient processes that improve the accuracy and integrity of information in the CMP;

-Providing effective challenge, advice, and guidance on compliance risks and the development and maintenance of the CMP to the Lines of Business, Compliance Officers/Advisors and Risk Offices;

-Ensuring the integrity of Compliance data in PRIME, the system of record;

-Supporting Compliance Audits and Exams and LOB integrations/change management;

-Maintaining a strong understanding of Compliance Risk Management Framework and applicable laws and regulations;

-Actively participating on complex projects through providing guidance, advise, and effective challenge;

-Proactively sharing core technical knowledge through formal training and informal training/communications;

-Involvement with third party compliance as needed; and

-Flexibility to travel to various Capital One locations as necessary.

Typical Experience/Skills:

-Exceptional MS Excel skills and proficient Tableau user

-Ability to produce results and influence decisions through analysis of large sets of data

-Ability to read and interpret regulations

-Functional knowledge of federal and state regulations, with a specific focus on cybersecurity, information security, and FFIEC Guidelines/Handbooks.

-Knowledge of current technological developments/trends

-Strong problem-solving and conceptual skills

-Strong written and verbal communication skills

-Ability to work autonomously

-Use sound judgment to reach conclusions and to verify results

-Strong negotiation and leadership skills

-Willingness to pursue compliance certifications if not already certified

Basic Qualifications:

-High School Diploma, GED or equivalent certification, or Military experience

-At least 3 years of experience in compliance, or at least 3 years in legal, or at least 3 years in audit, or at least 3 years in risk management

Preferred Qualifications:

-5 years of experience in compliance, or 5 years in legal, or 5 years in audit, or 5 years in risk management

-3 years of Financial Services experience

-3 years of information technology experience

-CRCM, or CIPP, or CPA, or CIA, or CISA

-Bachelor’s Degree

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

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