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Manager, Process & Compliance, Regulatory and Basel Capital Reporting Team

Capital One

Richmond, VA
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Job Details

Company Capital One

Job Title: Manager, Process & Compliance, Regulatory and Basel Capital Reporting Team

JobID: capitalone2-R20103

Location: Richmond, VA, 23261, USA

Description: West Creek 3 (12073), United States of America, Richmond, Virginia

Manager, Process & Compliance, Regulatory and Basel Capital Reporting Team

The Regulatory Reporting team is responsible for the preparation and filing of various financial Regulatory Reports that are filed daily, weekly, monthly, quarterly and annually. Preparation of reports include all reconciliations, validations, and reviews required to ensure the accuracy and completeness of the regulatory reports.

This role will provide centralized process and compliance support for the Regulatory Reporting Team. You will partner closely with associates and leaders across Global Finance, as well as teams across the enterprise, including Basel Compliance Management, Risk Management, Regulatory Relations, SOX Advisory Team, Global Finance Information Transformation (GFIT) Program, and the Global Finance Risk Office. You will also participate in audit and exam activities as needed, provide subject matter expertise on issue management/remediation, implementation of new projects that may impact the Regulatory Reporting teams, manage associates, providing leadership direction and development.

Specific job responsibilities include (but are not limited to):

+ Obtain and maintain a process-level understanding of assigned topical areas

+ Analyze data from multiple sources to aid in the assessment of risks for assigned areas

+ Periodically perform independent reviews of assigned activities for compliance based on a set of defined qualitative/quantitative metrics.

+ Engage with subject matter experts in the organization- the Business, Basel Compliance Management, Reg. Relations, to assess adherence to requirements/ programs

+ Participate in the proactive identification, assessment, and monitoring of potential risks and issues related to various programs we support (i.e., Compliance Management Program, Third Party Management, Data Quality, Policy Management, Information Retention Policy, Business Continuity etc.)

+ Ensure readiness for changes to Regulatory Reporting (Y9C/Call Report/FR Y-14, etc.) such as working with GFIT Compliance team to define the new processes/controls and the Reg team on process documentation

+ Day-to-day management of Genpact (offshore contractors) relationship

+ Evaluate, update process documentation (with the assistance of process owners) for consistency

You will use your:

+ Excellent communication skills, both written and verbal

+ Problem solving skills and innovative thinking skills

+ Ability to build relationships across a broad range of internal and external constituencies

+ Ability to collaborate, build positive, enduring relationships and exert influence without direct authority

+ Strong working knowledge of the Banking Regulatory landscape

+ Intellectual curiosity and analytical capabilities to proactively spot emerging risks

+ Process design and automation experience to continuously drive improvements

**Basic Qualifications:**

+ Bachelor’s Degree or Military Experience

+ At least 5 years of experience in Regulatory Reporting, or at least 5 years of experience in Compliance, or at least 5 years experience in Audit, or at least 5 years of experience in Risk Management

+ At least 2 years of people management experience

**Preferred Qualifications:**

CPA certification or CIA certification or Lean/Six Sigma Certification

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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