Director, Compliance

Director Compliance

Compliance & Ethics (C&E) is seeking a Director who will lead key initiatives managed within the Compliance Governance (CGOV) team to enhance existing governance and oversight of the Compliance Management Program (CMP). As part of C&E youll work with talented associates who provide oversight and guidance that sustains existing governance practices while also improving methodology to ensure Capital One effectively manages compliance risk.

The successful candidate will be self-starting and collaborative. They should be able to connect elements of the CMP to the regulatory environment business practices and customer needs. This individual should also feel comfortable delivering results amid changing conditions moving from ambiguity towards grounded recommendations providing strategic and tactical guidance to further desired outcomes and influencing partners across the organization at various levels. Strong problem solving and analytical skills attention to detail and process/project leadership capabilities are essential for this role.

Specific responsibilities include but are not limited to the following:

• Play a key role in contributing to the effective design and delivery of specific initiatives intended to enhance the existing Compliance Management Program

• Collaborate with our stakeholder community (e.g. General Compliance Advisory & Testing Enterprise Risk Management other IRM groups Audit business risk offices front line process owners) to enhance existing governance practices

• Leverage data and analytics to inform outcomes and proactively identify opportunities for improvement

• Collaborate with cross-functional teams to accomplish shared objectives

• Anticipate identify and escalate problems early and propose potential mitigations

Basic Qualifications:

• Bachelors Degree or military experience

• At least 8 years of experience in compliance risk management legal or audit

• At least 5 years of process product project or program management experience

Preferred Qualifications:

• Masters Degree or Juris Doctor

• Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise Risk Professional (CERP)

• 7 years of experience in financial services

• 2 years of people management experience

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

The minimum and maximum full-time annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Chicago IL: $181800 - $207500 for Director Compliance

McLean VA: $200100 - $228400 for Director Compliance

Richmond VA: $181800 - $207500 for Director Compliance

Riverwoods IL: $181800 - $207500 for Director Compliance

Candidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.

This role is also eligible to earn performance based incentive compensation which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status exempt or non-exempt status and management level.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE including disability/vet) committed to non-discrimination in compliance with applicable federal state and local laws. Capital One promotes a drug-free workplace. 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; New York Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal state and local laws and regulations regarding criminal background inquiries.

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

Required Experience:

Director