Senior Risk Manager – Retail & Direct Bank, Enterprise Services, Privacy, & CMP Local Governance

  • Company: Capital One
  • Location: Richmond, Virginia
  • Posted: February 01, 2017
  • Reference ID: R18756
West Creek 3 (12073), United States of America, Richmond, Virginia

Senior Risk Manager – Retail & Direct Bank, Enterprise Services, Privacy, & CMP Local Governance

Title:Senior Manager, Retail and Direct Bank (RDB) / Enterprise Services (ES) / Privacy Compliance
Level:  Sr Manager


As a Senior Risk Manager, you will apply your leadership and analytical skills to our highest profile Risk Management projects. You will act as a thought leader to develop and implement cutting-edge risk solutions in a manner that supports innovation and protects our customers, shareholders, and associates. You will partner with peers and senior leaders, second and third lines of defense, as well as lines of business to drive organizational change in order to better manage the Company’s risk in an open, collaborative environment where new ideas and solutions are both welcomed and rewarded.

Risk professionals are experienced, well-trained, and progressive individuals that operate within a highly collaborative team environment to deliver value-added risk services to our business partners. The Senior Manager candidate will be a highly-motivated Risk Management professional with excellent organizational, leadership, planning, collaboration, and communication skills.

General Responsibilities

The Senior 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 Senior Risk Manager will:

  • Support the senior leadership team refining the team strategy and function.
  • Lead a team of high performing associates overseeing critical CMP reporting and analytics. 
  • Serve as interdepartmental liaison, interfacing with lines of business, risk offices, compliance teams, and other areas of Risk Management.
  • 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 Senior Risk Manager is responsible for the oversight, execution, and management of processes required by the CMP and assists RDB/ES/Privacy 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 RDB and ES through Quarterly Compliance Reporting to the Risk Oversight Committees in addition to ad hoc reporting and analysis;
  • 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:

  • Ability to set strategy and lead an extended team through change
  • Use sound judgment to reach conclusions and to verify results
  • Strong skill sets in the following areas: people leadership, problem-solving, written and verbal communication, report writing/editing, and influencing/negotiation
  • Knowledge of federal and state regulations impact RDB/ES/Privacy, current regulatory developments, trends, etc.
  • Ability to work autonomously
  • Willingness to pursue compliance certifications if not already certified
  • Strong proficiency with Microsoft Office Suite (especially excel), and reporting tools (such as Tableau, etc.).  Data mining experience is a plus (through SQL, Visual Basic, etc.)

Professional Credentials and Education:

General 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 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 CIA
  • Bachelor’s Degree

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

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