Description:
The Director, ES Compliance will advise business leaders on the development and delivery of products and services, manage a team of dedicated compliance professionals, and oversee the administration of Capital One’s Compliance Management Program for relevant Enterprise Services functions. The Director, ES Compliance will also advise the CO and regularly engage with leaders in other parts of Compliance (such as Privacy, Fair Lending, and Anti- Money Laundering (AML)), Risk Management, Audit, Legal, and Regulatory Affairs.
Key Responsibilities:
- Manage the maintenance, evolution, and continuous improvement of the compliance risk management function for assigned components of Capital One’s Enterprise Services division by providing support, advice, and counsel on complex compliance risk issues
- Serve as an authority within Enterprise Services for relevant and evolving compliance expectations, laws, and regulations and the impact of changes on the business
- Actively promote a culture of compliance risk management and balanced risk taking by, for example, ensuring the business has appropriate monitoring in place to identify process breakdowns and advising the business to ensure comprehensive corrective action when issues arise
- Oversee the development and execution of major portions of the Compliance Management Program, which ensures that Capital One appropriately identifies, manages, and oversees compliance risk through sound governance, rigorous controls and testing, and thoughtful risk escalation
- Work collaboratively with business partners and other support groups to ensure the company’s products, practices, and services all remain within Capital One's Compliance risk appetite
- Build strong partnerships with other Enterprise Services risk advisors (Legal and business risk officers) and Compliance peers responsible for compliance risks that apply across businesses (such as Privacy, Fair Lending, and AML) to ensure consistent and comprehensive guidance to the business
- Report compliance results to senior management and the Board of Directors, as appropriate
- Monitor work plans for remediation of any internal or regulatory findings within the business area of responsibility
- Effectively lead and oversee the management of people processes, including recruiting, performance management, training, and development
- Display a high degree of emotional intelligence, foster good team dynamics, respond effectively to employee concerns, and maximize the potential of team members