Director, Compliance

Overview

Voyager (94001), India, Bangalore, Karnataka

Director, Compliance

Compliance & Ethics is seeking a Director to help lead key initiatives managed within the Compliance Governance team. The Director will own the creation, management, and oversight of program initiatives chartered to enhance existing governance and oversight of the Compliance Management Program (CMP).

As part of Compliance & Ethics, you’ll work with talented associates to provide oversight and guidance to sustain existing governance practices and enhance methodology to ensure our businesses effectively manage Compliance risk. 

We are seeking a dedicated, disciplined, process or program professional who excels in a team environment. The successful candidate will be self-starting, entrepreneurial and collaborative. This individual will have experience in risk management, improving processes, identifying with the perspective of our customers, and be able to connect the elements of the CMP to the regulatory environment and to existing business processes. This individual must be able to effectively communicate and influence partners across the company and across multiple levels of the organization. Strong problem solving and analytical skills, attention to detail, process/project management capability, and results driven are essential to succeeding in this role. This individual should feel comfortable working with quantitative and qualitative information and can move from the “gray” area to grounded recommendation in an organized and transparent manner.

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. AML and 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

• Actively support internal and external audits and exams

• Coordinate with cross-functional/matrixed performers to accomplish shared objectives

• Anticipate/identify/escalate problems early and propose potential mitigations

Basic Qualifications:

• Bachelor’s Degree or Military experience

• At least 7 years of experience in compliance or legal or audit, or risk management

• At least 7 years of experience supporting or partnering or interacting with internal business clients

Preferred Qualifications:

• At least 7 years previous experience in Banking / Financial Services or other dynamic field

• At least 7 years of experience in Project or Process Management

• At least 7 years of internal strategy or management consulting experience leading cross functional financial services projects and programs 

No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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 City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

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