Senior Compliance Director - Financial Services

  • Company: Capital One
  • Posted: November 04, 2016
  • Reference ID: R13894
Plano Town Center (31064), United States of America, Plano, Texas

Senior Compliance Director - Financial Services

Title:  Senior Compliance Director – Financial Services

Level:  Senior Director

Job Description:

Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients.  Ranked #127 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

The Senior Compliance Director is responsible for managing and evolving the Financial Services' Compliance Program.  

The role holder is responsible for assessing and helping ensure the sufficiency and consistency of compliance practices and internal controls, as reflected in written procedures and business practices. This is accomplished by conducting assessments, targeted reviews, and ad hoc assignments that help management identify, mitigate, and escalate emerging compliance issues.

Stakeholder management and leadership.

  • Initiate early engagement with key stakeholders to ensure effective partnership with the business which includes openness to giving and receiving challenge at all levels.

  • Influence compliance and business management’s thinking around compliance risk and relevant operations designed to such risk.

  • Provide guidance to the business where collective action (where controls are allocated appropriately between first and second lines of defense) result in a stronger risk and control environment.

  • Advise compliance management on potential client risk by utilizing on-demand due diligence research and analysis of information obtained from media and other sources. 
  • Prepare recommendations to compliance and business management outlining any potential risks uncovered in the research. 

  • Leads by example, appreciates their role in providing guidance and education and training to others. 

  • Able to clearly navigate and articulate the importance of the compliance control environment to the business.

  • Able to educate colleagues and skillfully provide simple explanations, real world case studies and is able to effectively present/ facilitate compliance training if required.

  • Embraces change, sponsors improvements and is empowered to raise concerns and suggest improvements/mitigants. Constructively looks to support continuous compliance control environment improvements.

Decision making and problem solving.

  • Able to understand changing compliance landscape and can apply those changes at Capital One, knowing the business and products, mindful of compliance risk typologies and the impact of decisions on customers, business relationships and US and global economies. 

  • The ‘go-to’ compliance person to support business operations management and ensure sustainable success through partnership approach and gives management confidence in its decisions.

  • Able to understand the issue in context by taking a holistic view, (identifying other potential compliance risks and escalating them as appropriate), analyze and recommend steps for mitigation or redress. Looks at data trends and analyses whether the business is equipped to mitigate the risk effectively, taking appropriate oversight to ensure fist line corrective action or escalation.

  • Demonstrates strong financial services awareness in dealing with the business, able to articulate compliance risks to develop individuals capacity, as well as collective understanding, however, will stand up for what is right and explain the rationale with patience so that the concept is embedded at individual or team level. Mindful that there is required emphasis on how we do business, which needs to be balanced with how much business we do.

Basic Qualifications:

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

-At least 10 years of compliance experience

Preferred Qualifications:  

-Bachelor's Degree

-12 years of compliance experience

-5 years financial services experience

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

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