Senior Manager, Risk Management - Regulatory Engagement Lead

Capital One • McLean, VA

23h

About The Position

Capital One is a rapidly growing organization focused on customers, technology, cybersecurity, reliability, software quality, and data management, having migrated its entire enterprise to the public cloud. The Technology & Data Risk Management (TDRM) organization, comprising approximately 200 professionals, oversees 14,000 developers and is responsible for cybersecurity, reliability, tech risk, and data management risk. In regulated financial services, the first-line CISO reports to the CIO, while the second-line Chief Tech Risk Officer (CTRO) and TDRM organization have broader responsibilities, overseeing the CISO, CIO/CTO, and Chief Data Officer, and reporting to the Chief Risk Officer (who reports to the CEO). TDRM ensures business leaders have the necessary tech and data risk information for sound decision-making. The Regulatory Engagement Lead will play a critical role in supporting the organization through the entire lifecycle of audits and regulatory exams and engagements. This includes overseeing the internal execution of examination activities, developing materials and responses for all audit and regulatory engagements, and monitoring corrective actions to ensure timely mitigation. The lead will leverage their knowledge of technology, information security, and data rules and regulations to identify potential risk areas and will collaborate closely with associates and executives across the first and second lines of defense, including Technology, Cyber organizations, Regulatory Relations, and Operational Risk Management.

Requirements

• Bachelor's Degree or military experience
• At least 7 years of experience in the fields of information security, technology, or risk management
• At least 5 years of experience interacting with internal audit, federal regulators, or government agencies
• At least 3 years of experience in banking or financial services
• Strong foundation in risk management and understands risk frameworks, particularly as it relates to financial services
• Demonstrates keen judgment along with strategic and tactical leadership skills
• Excellent communicator, particularly written communication (memos & slide decks)
• Brings extreme attention to detail, sense of accountability, and ability to follow through on time-sensitive deliverables to your full portfolio of work
• Adept at managing stakeholder engagements and building relationships across all levels of the organization and across lines of defense
• Stays current on the changing domestic and international regulatory environment and understands the impacts to Tech and Data Risk Management

Nice To Haves

• 7+ years of experience interacting with internal audit, federal regulators, or government agencies
• 3+ years of process or Project Management or related experience leading cross functional projects and programs
• 3+ years of experience in a second-line or oversight role at a financial institution or regulatory agency
• Knowledge of supervisory expectations expressed in the FFIEC IT Handbook, Federal Reserve Supervisory Letters, Office of the Comptroller of the Currency Bulletins, or Federal Deposit Insurance Corporation Financial Institution Letters
• Risk certifications or PMP certification

Responsibilities

• Support the organization throughout the lifecycle of audits and regulatory exams and engagements.
• Oversee the internal execution of examination activities.
• Develop materials for, and responses to, all audit and regulatory engagements.
• Monitor corrective actions and ensuring they are on track for appropriate and timely mitigation.
• Apply knowledge of rules and regulations in the technology, information security, and data domains to identify potential areas of risk.
• Partner closely with associates and executives within the first and second lines of defense such as the Technology and Cyber organizations, Regulatory Relations, Operational Risk Management, and others.
• Analyze information to proactively identify risks, trends, and process improvements; including reporting on risk topics to management.
• Set direction, manage expectations, and indirectly lead cross-functional teams.

Benefits

• Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
• Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 5,001-10,000 employees