Compliance Governance Sr. Associate
Effective and efficient regulatory change management is critical to identifying and managing compliance risk, and meeting customers' and regulators' expectations. The PRIME/Issue & Event/Reg Change Team is looking for a self-motivated, proactive, and detail-oriented Associate to support regulatory change management and other governance processes.
As part of the Compliance Governance Oversight, and Validation ("CGOV") function within Corporate Compliance, our team has primary responsibility for program administration related to regulatory change management, oversight of issue and event management, and support of the Compliance Department's use of the Proactive Risk Identification and Mitigation Engine ("PRIME") system of record. It's an exciting time for the team, as new technologies and new ways of thinking present tremendous opportunities to reinvent how we manage risk.
The Sr. Associate plays an essential role in managing the PRIME Compliance Regulatory Change process and works closely with Compliance, Lines of Business, and Legal Department stakeholders to ensure a well-managed, effective process. The Reg Change Management Sr. Associate also supports various other Compliance governance processes and initiatives within the team.
Execute critical BAU Reg Change functions, including:
Monitoring and processing incoming Reg Changes in PRIME, to ensure they are directed accurately and timely to relevant Compliance and Business Areas for evaluation and action
Acting as the primary point of contact and process SME for customers and stakeholders, by managing the Reg Change mailbox and responding to, or redirecting, other questions and requests, as needed
Effectively and efficiently managing team workflow through the PRIME dashboard to ensure timely action on required tasks
Maintaining the PRIME Reg Task Library in a continual state of readiness as staff and organizational changes occur
Assist in the preparation of reporting and metrics development
Act as the primary point of contact between the Reg. Change Management team and Legal
Coordinate with the CGOV PRIME/ FUSE Lead on LOB updates, changes and releases
Proactively identify process gaps or risks, as well as potential enhancements and efficiencies
Implement/assist in implementing changes, as appropriate
Monitor & analyze data quality, and follow up on potential concerns
Assist in enhancing/maintaining the team Pulse page(s), JIRA board, calendar, training materials, and job aids as needed
Support additional governance activities, audit requests, and other responsibilities as required
Bachelor's Degree or Military experience
At least 2 years experience in Compliance Management, Risk Management, or Process Management
Familiarity with laws and regulations applicable to financial institutions, as well as Capital One's lines of business
At least 4 years experience in Compliance Management, Risk Management, or Process Management
Process Management or other relevant professional certifications
Strong interpersonal skills and customer focus
Proficiency with Google Suite (e.g. Drive, Slides, Docs, and Sheets)
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.
All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.
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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.