Senior Director, Compliance

Overview

Senior Director, Compliance

Compliance & Ethics (C&E) is seeking a Senior Director to own the development, management, and oversight of program initiatives chartered to enhance existing governance and oversight of the Compliance Management Program (CMP). This individual will create and implement innovative solutions to identify and mitigate compliance risk. They’ll work with talented C&E associates who provide oversight and guidance that sustains existing governance practices while also improving CMP methodology.   

The successful candidate will be self-starting and collaborative. They should be able to connect elements of the CMP to the regulatory environment, business practices, and customer needs. This individual should also feel comfortable delivering results amid changing conditions, moving from ambiguity towards grounded recommendations, providing strategic and tactical guidance to further desired outcomes, and influencing partners across the organization at various levels. Strong communication skills are essential for this role.

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 CMP

• Leverage data and analytics to inform outcomes and identify improvement opportunities

• Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas

• Provide strategic program leadership, driving program alignment in a matrixed, highly complex regulated environment

• Design, develop, and manage risk management-focused project plans in a complex dynamic environment, revising needs to meet changing requirements

• Communicate program requirements to internal and external stakeholders as needed

• Build relationships and collaborate with key stakeholders to ensure delivery of commitments

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 9 years of experience in compliance, risk management, legal, or audit 

• At least 5 years of process, product, project, or program management experience

• At least 4 years of people management experience

Preferred Qualifications:

• Master’s Degree or Juris Doctor

• Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise Risk Professional (CERP)

• 10+ years of experience in financial services

• 5+ years of people management experience

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.

Chicago, IL: $212,800 - $242,800 for Sr. Director, Compliance

McLean, VA: $234,000 - $267,100 for Sr. Director, Compliance

Richmond, VA: $212,800 - $242,800 for Sr. Director, Compliance

Riverwoods, IL: $212,800 - $242,800 for Sr. 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

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).