Senior Director, Risk Management

Job Description

McLean 2 (19052), United States of America, McLean, Virginia

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.
Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Senior Director, Risk Management

As a Director in Capital One’s United Income Risk Group, you will apply your leadership and analytical skills to our highest profile Risk Management projects. You will lead a team of Risk Specialists and act as a thought leader working across the enterprise to develop and implement cutting edge Risk solutions to ensure United Income’s continued stability and success. Directors in Capital One’s Risk Management organization partner with Executives and 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.

Directors in Risk Management at Capital One are highly motivated Risk Management professionals with excellent organizational, leadership and communication skills. They have a high level of exposure across lines of business and the opportunity to work with Executives to create and implement innovative solutions to identify and mitigate potential risks to the Company.

ABOUT UNITED INCOME:

United Income is a financial technology company that was recently acquired by Capital One. We combine the latest technology with time-tested wisdom to understand the interconnectedness of our financial lives better , allowing us to lower client’s taxes, boost retirement benefits, and improve the quality of investment management.

We have over $1 billion of assets under management, 99 percent client retention, and 88 percent of clients have had their fees reduced (since our technology lowers our operating costs, which we share with our clients). We’ve attracted over 200 media stories about the company’s wealth-building innovations and thought leadership, including a Forbes article that said we have “an all-star team.”

Our team is united in our mission to use new technology to increase the financial potential of our customers in ways that have not been possible in the past. That’s where you come in. We want the best and the brightest. Work is more fun when you know that you’re surrounded by people who are as dedicated as you are.

Our Vision Is Clear

Use technology to lower the cost of advice, improve its quality, and simplify its delivery so we can help more people convert their hard work into financial mobility and security.

Our Goals Are Simple

Create the best financial planning and money management solution in the world;

Create a culture that is ambitious, fun, smart, and attracts and retains the best talent in each of our major areas of business;

Meaningfully and measurably improve the financial lives of American households .

Responsibilities:

• Lead asset management risk including legal, audit, and operational risk
• Provide expertise on Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act, and the Securities Exchange Act
• Apply SEC, FINRA, DOL, and ERISA regulatory obligations in a business setting
• Design, implement, and continuously improve operational risk framework and educate others about risks
• Crisply discuss aspects of operational arrangements within asset management and challenge the business with an independent control mindset

Basic Qualifications:

• Bachelors Degree or military experience
• 5+ years of experience in Risk and Compliance
• 2+ years experience in Operations Management
• 2+ years experience in People Management

Preferred Qualifications:

• Masters Degree in Business Management, Finance, Accounting, Economics, Mathematics or Project Management
• Proven asset management compliance, legal, audit, and/or operational risk expertise, ideally with Registered Investment Advisor and Broker / Dealer experience
• Strong working knowledge of the asset management regulatory and/or risk environment; bank-affiliated asset management experience
• Proven ability to design, implement, and continuously improve operational risk framework and educate others about risks

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

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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [email protected] . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One’s recruiting process, please send an email to [email protected]

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).