Senior Manager, Risk Management - Regulatory Engagement Lead

Senior Manager, Risk Management - Regulatory Engagement Lead

Capital One is one of the fastest growing organizations in the world today, powered by our passion for our customers. We are serious about technology, we dream big, and we execute: Capital One moved our entire enterprise to the public cloud over the course of five years. Just as we prioritize driving innovation through technology, we equally prioritize cybersecurity, reliability, software quality, and data management.

Technology & Data Risk Management (TDRM) is a small organization that packs a big punch. The ~200 professionals in TDRM are trusted experts who oversee ~14,000 developers at Capital One. We raise the bar for excellence in cybersecurity, reliability, and tech risk, and data management risk. We shape strategy and decisions, challenge activities to ensure they meet our standards, and perform independent tests of our security and technology risk.

For years, the cybersecurity community has debated whether the CISO should report to the CIO or not. In regulated financial services, the answer is: both. The first-line CISO has operational responsibilities and reports to the CIO. The second-line Chief Tech Risk Officer (CTRO) and the Tech & Data Risk Management (TDRM) organization have broader responsibilities for cybersecurity but also reliability, software quality, resilience, and the risk of failing to manage our data. The CTRO is independent and oversees the work of the CISO, the CIO/CTO, and the Chief Data Officer. The CTRO reports to the Chief Risk Officer, who reports directly to the CEO.

Our business leaders must make technology decisions constantly. TDRM makes sure they have the tech and data risk information they need to make good decisions. Associates within TDRM are highly-skilled information security, cybersecurity, site reliability engineering, technology, data analyst, data scientist, and risk management professionals. They have a wealth of experience and a demonstrated ability to add value with their advice and to deliver high-impact results.

The Regulatory Engagement Lead will play a critical role in supporting the organization throughout the lifecycle of audits and regulatory exams and engagements. The lead will oversee the internal execution of examination activities, including developing materials for, and responses to, all audit and regulatory engagements and monitoring corrective actions and ensuring they are on track for appropriate and timely mitigation. The lead will apply their knowledge of rules and regulations in the technology, information security, and data domains to identify potential areas of risk . The lead will partner closely with associates and executives within the first and second lines of defense such as the Technology and Cyber organizations, Regulatory Relations, Operational Risk Management, and others.

The ideal candidate:

• Has a strong foundation in risk management and understands risk frameworks, particularly as it relates to financial services
• Demonstrates keen judgment along with strategic and tactical leadership skills
• Is an excellent communicator, particularly written communication (memos & slide decks)
• Brings extreme attention to detail, sense of accountability, and ability to follow through on time-sensitive deliverables to your full portfolio of work
• Is adept at managing stakeholder engagements and building relationships across all levels of the organization and across lines of defense
• Stays current on the changing domestic and international regulatory environment and understands the impacts to Tech and Data Risk Management;
• Analyzes information to proactively identify risks, trends, and process improvements; including reporting on risk topics to management;
• Sets direction, manages expectations, and indirectly leads cross-functional teams.

Basic Qualifications:

• Bachelor's Degree or military experience
• At least 7 years of experience in the fields of information security, technology, or risk management
• At least 5 years of experience interacting with internal audit, federal regulators, or government agencies
• At least 3 years of experience in banking or financial services

Preferred Qualifications:

• 7+ years of experience interacting with internal audit, federal regulators, or government agencies
• 3+ years of process or Project Management or related experience leading cross functional projects and programs
• 3+ years of experience in a second-line or oversight role at a financial institution or regulatory agency
• Knowledge of supervisory expectations expressed in the FFIEC IT Handbook, Federal Reserve Supervisory Letters, Office of the Comptroller of the Currency Bulletins, or Federal Deposit Insurance Corporation Financial Institution Letters
• Risk certifications or PMP certification

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.

McLean, VA: $177,700 - $202,800 for Sr. Risk Manager

New York, NY: $193,800 - $221,200 for Sr. Risk Manager

Richmond, VA: $161,500 - $184,300 for Sr. Risk Manager

Riverwoods, IL: $161,500 - $184,300 for Sr. Risk Manager

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 the Capital 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.

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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).