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Compliance Governance Sr. Associate

Location Richmond, Virginia
Job ID R105003 Updated date 01/13/2021
West Creek 3 (12073), United States of America, Richmond, Virginia

Compliance Governance Sr. Associate

Effective and efficient regulatory change management is critical to identifying and managing compliance risk, and meeting customers’ and regulators’ expectations. The PRIME/Issue & Event/Reg Change Team is looking for a self-motivated, proactive, and detail-oriented Associate to support regulatory change management and other governance processes.

As part of the Compliance Governance Oversight, and Validation (“CGOV”) function within Corporate Compliance, our team has primary responsibility for program administration related to regulatory change management, oversight of issue and event management, and support of the Compliance Department’s use of the Proactive Risk Identification and Mitigation Engine (“PRIME”) system of record. It’s an exciting time for the team, as new technologies and new ways of thinking present tremendous opportunities to reinvent how we manage risk.


The Sr. Associate plays an essential role in managing the PRIME Compliance Regulatory Change process and works closely with Compliance, Lines of Business, and Legal Department stakeholders to ensure a well-managed, effective process. The Reg Change Management Sr. Associate also supports various other Compliance governance processes and initiatives within the team.


Execute critical BAU Reg Change functions, including:

  • Monitoring and processing incoming Reg Changes in PRIME, to ensure they are directed accurately and timely to relevant Compliance and Business Areas for evaluation and action

  • Acting as the primary point of contact and process SME for customers and stakeholders, by managing the Reg Change mailbox and responding to, or redirecting, other questions and requests, as needed

  • Effectively and efficiently managing team workflow through the PRIME dashboard to ensure timely action on required tasks

  • Maintaining the PRIME Reg Task Library in a continual state of readiness as staff and organizational changes occur

  • Assist in the preparation of reporting and metrics development

  • Act as the primary point of contact between the Reg. Change Management team and Legal 

  • Coordinate with the CGOV PRIME/ FUSE Lead on LOB updates, changes and releases 

  • Proactively identify process gaps or risks, as well as potential enhancements and efficiencies

  • Implement/assist in implementing changes, as appropriate

  • Monitor & analyze data quality, and follow up on potential concerns

  • Assist in enhancing/maintaining the team Pulse page(s), JIRA board, calendar, training materials, and job aids as needed

  • Support additional governance activities, audit requests, and other responsibilities as required


  • Bachelor’s Degree or Military experience

  • At least 2 years experience in Compliance Management, Risk Management, or Process Management

Preferred Qualifications:

  • Familiarity with laws and regulations applicable to financial institutions, as well as Capital One’s lines of business

  • At least 4 years experience in Compliance Management, Risk Management, or Process Management

  • Process Management or other relevant professional certifications

  • Strong interpersonal skills and customer focus

  • Proficiency with Google Suite (e.g. Drive, Slides, Docs, and Sheets)

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.

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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).

Who We Are

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.