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Compliance Director – Third Party Management

Capital One


Location:
McLean, VA
Date:
09/20/2017
2017-09-202017-10-19
Job Code:
capitalone2-R33568
Categories:
  • Management
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Job Details

Company Capital One

Job Title: Compliance Director – Third Party Management

JobID: capitalone2-R33568

Location: McLean, VA, 22106, USA

Description: McLean 1 (19050), United States of America, McLean, Virginia



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.



Compliance Director – Third Party Management



**Summary:** Corporate Compliance is seeking a Director to help lead our third-party Compliance Management Program (CMP). The associate will leverage strong analytical thinking skills to ensure all components of the CMP are in place and operating effectively for all third parties possessing compliance risk. Additionally, the associate will leverage strong leadership and influence skills to engage Compliance Advisory, Compliance Central Governance, Corporate Third-Party Management and Enterprise Supplier Management to create and maintain a program to fully and efficiently identify, assess and mitigate compliance risk throughout the third-party lifecycle. The associate will also be responsible for leading a team of compliance professionals to manage compliance third-party management across the Enterprise.



**Responsibilities:**



-Lead and provide central oversight to the Corporate Compliance Third-Party Management program



-People and Process Management



-Maintain thorough knowledge of holistic Third Party Management program and processes shared across different organizations



-Ensure efficient and transparent processes throughout the TPM and Compliance lifecycles



-Drive engagement across Corporate Compliance, as well as that of Capital One’s broader TPM community during the entire third-party lifecycle (e.g. pre-contract, onboarding, maintenance activities, and off-boarding)



-Engage Compliance Advisory to create a sustainable process to identify and analyze third party compliance risk trends and issues broadly across the entire organization, and provide to stakeholders for inclusion in relevant compliance reporting



-Influence Compliance Advisory across the enterprise to ensure all compliance-specific risks are identified and managed at the specific third-party relationship level.



-Collaborate with Compliance Advisory and ICTT during the review and analysis of third-party controls and regulatory applicability



-Identify Third Party compliance related trends requiring actions and leads work to address



-Maintain subject matter expertise in applicable laws, regulations, and regulator guidance



-Create and monitor ongoing engagement model with Enterprise Supplier Management and select LOB/Staff groups to ensure Capital One’s compliance with policies, standards, and procedures, related to Third Party Management, including appropriate involvement with and periodic reporting to the appropriate Compliance Advisors



-Engage the broader TPM community to ensure the off-boarding and termination of third-party relationships accounts for all compliance related concerns



-Drive periodic education activities within Corporate Compliance and the broader TPM community and the LOBs as appropriate



-Travel to various Capital One locations or third-party sites, if necessary



-Ensure Corporate Compliance associates are trained on Corporate TPM policies and procedures and their specific roles and accountabilities



-Engage with external regulators, if necessary.



**Typical Experience/Skills:**



-Ability to drive results within the team and among external stakeholders



-Ability to work in a highly matrixed organization



-Ability to read and interpret regulations, and discuss with associates in the business



-Leadership and influencing skills



-Strong problem-solving and conceptual skills



-Strong understanding of applicable laws and regulations



-Strong understanding of line of business processes and where third parties are engaged, at a high level



-Strong understanding of supply-chain management and its relevant risks



-Strong written and verbal communication skills



**Basic Qualifications:**



-Bachelor’s Degree or Military experience



-At least 7 years of experience in compliance, legal, audit, risk management, or supply-chain management



At least 7 years of experience supporting or partnering or interacting with internal business clients



**Preferred Qualifications:**



-10 years of experience in compliance or legal, or in audit



-Extensive knowledge or experience in supply chain, procurement, or third-party risk management



-Certifications such as: Certified Third Party Risk Professional (CTPRP), Certified Supply Chain Professional (CSCP), Certified Professional in Supply Management (CPSM), Certified Regulatory Compliance Manager (CRCM), Association of Certified Anti-Money Laundering Specialists (ACAMS), Certified Information Privacy Professional (CIPP)



**At this time, Capital One will not sponsor a new applicant for employment authorization for this position.**



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.                                               


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