Compliance Director - Enterprise Services

Compliance Director - Enterprise Services Capital One's technology transformation has presented an exciting opportunity to usher in leading edge, innovative approaches to compliance risk management in close partnership with our business clients. We are increasingly using technology to further our most dynamic, innovative products, which calls for new, creative ways for us to think about compliance and risk in a way that helps the business succeed, safely and quickly. The Enterprise Services (ES) Division is at the center of these activities, driving Capital One's strategic agenda. This position supports the second line compliance function for Capital One's Enterprise Services Division. Enterprise Services is an innovative and highly dynamic division of Capital One that includes our enterprise GenAI program, our newly formed Software business, our tech organization and our enterprise data, products and platforms organization. Enterprise Services also includes Enterprise Supplier Management, the first line team that manages suppliers and vendors. This position reports to the Enterprise Services Compliance Officer (CO). 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 Enterprise Services. 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 key 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 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. Critical Competencies: The ideal candidate will be a seasoned compliance professional with strategic leadership skills, a forward thinker, and a proven ability to operate effectively in a complex, highly-regulated environment. Candidates should have a passion for supporting the business in providing financial products and services that improve our customers' lives while also complying with all applicable regulatory requirements and expectations. Leadership Demonstrated ability to drive and execute the strategic vision for the Enterprise Services Compliance organization while providing meaning, context, and motivation to execute strategic priorities. Understands and embraces the power of technology, analytics, and automation to drive well-managed execution of core compliance responsibilities. Able to lead a team through organizational changes and drive innovation. Strong Business Judgment Strong business judgment and the analytical acumen to evaluate complex, multi-dimensional risks and formulate appropriate compliance recommendations and advice. Proven capability to influence and build consensus among peers and leadership, leveraging sound logic, analysis, and intellectual rigor. Communication Highly developed interpersonal, presentation, and communications skills (both verbal and written). Ability to communicate effectively at all levels of the organization. Basic Qualifications: Bachelor's degree or military experience. At least 8 years of legal, compliance, risk management or regulatory experience within consumer financial services. At least 5 years of people management experience. Preferred Qualifications: Advanced degree (Juris Doctor or Master's Degree). 8+ years of people management experience. At this time, Capital One will not sponsor a new applicant for employment authorization for this position. This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. #J-18808-Ljbffr

Created: 2025-03-12