Director, Compliance, Corporate Integrity

Overview

Director, Compliance, Corporate Integrity

As a Director within Corporate Integrity, you will be responsible for managing the Conflict of Interest (COI) and Gifts and Entertainment (G&E) Programs, which involve advising Capital One’s businesses and associates on a wide range of matters, including personal financial interests, work relationships involving familial/close personal ties, external board/advisory roles, and secondary employment. This position will involve conducting substantive reviews, including complex reviews and those involving senior executives; advising on mitigating conditions; and delivering advice and guidance to associates, up to and including senior executives. The position will also involve supervising a team of associates involved in the same types of work.

You will also support other Corporate Integrity programs (e.g., Ethics Office, Anti-Bribery & Anti-Corruption Program) in their initiatives involving awareness, education, and outreach related to COIs and G&Es; perform program-related monitoring activities; engage in data analytics to inform the programs; and provide advice and counsel.  

The ideal candidate is an experienced legal professional who works successfully both individually and collaboratively, as part of a team.  You must be an empowering people leader, who is an active listener.  Critical thinking skills and experience spotting issues and proactively identifying thoughtful well-reasoned solutions is crucial. Excellent judgment and discretion, effective prioritization,  and top-notch written and oral communications skills are required.

To be successful, you must be self-motivated and flexible in responding to changes in assignments and job responsibilities. You must be able to maintain positive working relationships with a variety of business partners at all levels within the Company, including senior executives, and be able to work effectively with in-house and outside counsel. Finally, you must be dedicated to complying with all organizational and professional ethical standards.

Responsibilities include: 

• Managing the interaction models and developing new frameworks associated with COI and G&E programs. Building and maintaining strong collaborative relationships with partners across Capital One, including HR, Legal, Compliance, External Affairs, Capital One Software, Capital One Ventures, Risk Management, and other impacted lines of business, and with outside counsel;

• Significant experience drafting legal memoranda analyzing complex factual scenarios and providing options and recommendations for consideration in decision-making

• Analyzing, resolving, and documenting complex, sensitive, and escalated COI and G&E disclosures particularly those involving investments in venture funds, Special Purpose Vehicles (SPVs), and private companies;

• Supervising a team responsible for conducting initial assessments, fact-finding, and interviews supporting the analysis and resolution of COI and G&E disclosures from current associates, executives and candidates. Providing oral and written briefings for senior leadership, up to and including the Managing Vice President of Corporate Integrity and Chief Ethics Officer;   

• Developing/maintaining an Enterprise-wide process to promote disclosure of potential COIs and G&Es, as well as programs to monitor adherence to conditions designed to mitigate conflicts related to the same; 

• Implementing case management best practices and leveraging technology to  gain efficiencies; manage increasing volumes of COI and G&E disclosures and scale the COI/G&E disclosure programs; and enhance analyses and monitoring activities;

• Managing the identification of trends, emerging risks, and insights to inform ongoing development of the programs; 

• Contributing perspective and expertise to broader and related Corporate Integrity initiatives, such as the Company’s Code of Conduct, industry benchmarking, and additional program builds; 

• Prioritizing among multiple tasks and responsibilities in a fast-paced, dynamic environment; and.

• Serving as a member of the senior leadership team in the Office of Corporate Integrity and supporting the mission thereof.

Basic Qualifications:

• Juris Doctorate degree

• At least 10 years of experience in Corporate Ethics, Government Regulatory Enforcement, Legal, Compliance, or Risk Management  

• At least 3 years experience in legal casework involving financial services

• At least 3 years of experience leading teams or people management 

Preferred Qualifications:

• At least 5 years of experience working in financial services;

• At least 5 years of experience in Ethics, Risk, Compliance Programs or a combination with a focus on analyzing COI disclosures and G&E requests; 

• Experience collecting, analyzing, and measuring process data to initiate sustainable business practices, procedures, and to report to senior leadership and executives;

• Experience with program management, change management,  maintenance of program governance documents or a combination thereof;

• Experience communicating with senior executives about sensitive matters; and

• Proficiency in the Google Suite (Google Docs, Slides, Sheets).

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.

Riverwoods, IL: $181,800 - $207,500 for Director, Compliance

McLean, VA: $200,100 - $228,400 for Director, Compliance

Richmond, VA: $181,800 - $207,500 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 candidate’s 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 theCapital 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 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com

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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).