Manager, Regulatory Practices - Enterprise Services Risk

Capital One•McLean, VA

About The Position

The Enterprise Services Risk organization is expanding with a focus on attracting innovative, pioneering, collaborative, and highly skilled professionals. We operate at the forefront of risk management, providing support for novel and developing technologies, as well as critical business strategies. Diverse perspectives and experiences are valued as we work to redefine the financial sector. As a Risk Manager within the Enterprise Services Risk Regulatory Practices team, you will apply your analytical and delivery skills to our highest profile Regulatory engagements and projects. You will partner across Enterprise Services to develop and support successful, forward-thinking Regulatory engagements and reporting in a manner that supports innovation, protects our customers, shareholders, and associates, and considers themes, opportunity patterns and scale across the function and enterprise. You will partner with peers and senior leaders, in the first, second and third lines of defense to drive the best outcomes for the ES audit and regulatory engagements in an open, collaborative environment where new ideas and solutions are both welcomed and rewarded. You will provide proactive and on-going regulatory intelligence to our Enterprise Services divisions to ensure they remain well-managed, including autonomous coordination and drafting of internal communications and briefs for regulator meetings, attending meetings with regulators, drafting meeting notes, updating regulators on recent developments, updating reporting and ensuring completion of any follow up actions after the meetings. Enterprise Services Risk team members are experienced, well-trained, progressive individuals operating within a highly collaborative team environment to deliver value-added risk services to our business partners. The successful candidate will be a highly-motivated Risk Management professional with excellent leadership, project management, analytical, planning, collaboration, strategic thinking and communication skills.

Requirements

High School Diploma, GED or Equivalent Certification
At least 4 years of experience in Risk Management, Process Management, Project Management, or a combination of these
At least 3 years of internal audit or regulatory exam experience

Nice To Haves

Bachelor's Degree or Military Experience
Risk Certifications (CRISC, CISM, CRCM, CIPP, ABA Risk Mgmt Certification)
At least 5 years of experience supporting, partnering and interacting with internal stakeholders
At least 2 years of Financial Services industry experience
At least 3 years of Exam relationship, engagement, and planning experience
Experience working in the fields of technology or cyber
At least 3 years of Risk Management experience within the financial services industry
Operational familiarity with ES functional areas including Technology, Digital, Workplace Solutions, Enterprise Supplier Management, Brand, Corporate Development and Capital One Growth Ventures

Responsibilities

Overseeing and reviewing regulatory responses across the full lifecycle, including facilitating integration and prioritization of various regulatory commitments into proactive risk management effort, in collaboration with other risk partners
Contributes to a readiness assessment of the end to end process being examined to identify any control gaps or weaknesses, potential issues and potential emerging risks.
Operating within a highly collaborative team environment, manage time with a sense of urgency to ensure regulatory deliverables are completed within established timeframes
Drive consistency and automation in all reporting and processes
Monitor corrective action of findings and risks, and ensure implementation by deadlines
Provides proactive and on-going regulatory intelligence to the divisions to ensure they remain well-managed
Support regulatory engagement planning, management, and reporting across all ES functions
Guided by team leadership, participate in regulatory engagements through documentation and quality assurance review of evidence (submitted to the examiners)
Assist with documentation on finding remediation efforts (including iterative milestone deliverables and overall finding completion), manage list trackers, and evidence
Provide proactive insight into upcoming engagements using intel gathered throughout the process (including historical insight)
Prepare senior leaders who meet regularly with Regulators to provide an update on performance, progress on large initiatives, and provide deep dives as needed to address questions or provide additional context
Develop and maintain the methodology, engaging the right business leaders and resources, and driving the prep work to meet with and respond to regulators
Utilize a proactive and consistent approach relying on clear milestones, expectations, roles and responsibilities, along with risk intelligence, strategic direction, and collaboration
Ensure that processes are well managed through the creation and maintenance of process documentation and tools
Support risk management reporting and communications