Director, SOX Compliance
Omada HealthSalary not specified
Not SpecifiedCompensation
Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, BankingIndustries
Requirements
- Experienced legal professional who works successfully both individually and collaboratively as part of a team
- Empowering people leader who is an active listener
- Critical thinking skills with experience spotting issues and proactively identifying thoughtful, well-reasoned solutions
- Excellent judgment and discretion
- Effective prioritization skills
- Top-notch written and oral communication skills
- Self-motivated and flexible in responding to changes in assignments and job responsibilities
- Ability to maintain positive working relationships with a variety of business partners at all levels, including senior executives, and work effectively with in-house and outside counsel
- Dedicated to complying with all organizational and professional ethical standards
- Significant experience drafting legal memoranda analyzing complex factual scenarios and providing options and recommendations for decision-making
Responsibilities
- Managing the Conflict of Interest (COI) and Gifts and Entertainment (G&E) Programs, including advising businesses and associates on personal financial interests, work relationships involving familial/close personal ties, external board/advisory roles, and secondary employment
- Conducting substantive reviews, including complex reviews and those involving senior executives; advising on mitigating conditions; and delivering advice and guidance to associates, up to and including senior executives
- Supervising a team of associates involved in COI and G&E work, including conducting initial assessments, fact-finding, and interviews supporting analysis and resolution of disclosures from associates, executives, and candidates
- Supporting other Corporate Integrity programs (e.g., Ethics Office, Anti-Bribery & Anti-Corruption Program) in initiatives involving awareness, education, and outreach related to COIs and G&Es
- Performing program-related monitoring activities and engaging in data analytics to inform the programs
- Providing advice and counsel on COI and G&E matters
- Managing the interaction models and developing new frameworks associated with COI and G&E programs
- Building and maintaining strong collaborative relationships with partners across Capital One (e.g., HR, Legal, Compliance, External Affairs, Capital One Software, Capital One Ventures, Risk Management, other lines of business) and outside counsel
- Analyzing, resolving, and documenting complex, sensitive, and escalated COI and G&E disclosures, particularly those involving investments in venture funds, Special Purpose Vehicles (SPVs), and private companies
- Providing oral and written briefings for senior leadership, up to and including the Managing Vice President of Corporate Integrity and Chief Ethics Officer
- Developing/maintaining an Enterprise-wide process to promote disclosure of potential COIs and G&Es, as well as programs to monitor adherence to conditions designed to mitigate conflicts
- Implementing case management best practices and leveraging technology to gain efficiencies, manage increasing volumes of disclosures, scale the programs, and enhance analyses and monitoring activities
- Managing the identification of trends, emerging risks, and insights to inform ongoing development of the programs
- Contributing perspective and expertise to broader Corporate Integrity initiatives, such as the Company’s Code of Conduct, industry benchmarking, and additional program builds
Skills
Compliance
Corporate Integrity
Conflict of Interest
Gifts and Entertainment
Anti-Bribery
Anti-Corruption
Data Analytics
Leadership
Critical Thinking
Communication
Capital One
Offers diverse financial products and services
About Capital One
Capital One provides a variety of financial services aimed at making banking accessible and easy for everyone. The company offers products such as credit cards, savings accounts, car loans, and business checking accounts, catering to both individual consumers and small businesses primarily in the United States. Capital One's approach includes user-friendly banking solutions with no fees or minimums for checking accounts, allowing customers to manage their finances more effectively. They generate revenue through interest on loans, credit card fees, and investment banking services. What sets Capital One apart from its competitors is its strong commitment to financial inclusion and literacy, demonstrated through community partnerships and educational initiatives, such as collaborations with Khan Academy. The company's goal is to create a more inclusive financial system and empower customers with the knowledge and tools they need to make informed financial decisions.
McLean, VirginiaHeadquarters
2014Year Founded
$15.9MTotal Funding
IPOCompany Stage
Fintech, Financial ServicesIndustries
10,001+Employees
Benefits
Medical, Dental, & Vision coverage
Onsite Health Centers
Prescription saving with network of local pharmacies
Stock Purchase Plan
Education Assistance
401(k)
Flexible Spending Accounts
Life and Disability insurance
Generous paid time off + corporate & floating holidays
Registered dieticians on site, cooking classes and free virtual fitness classes
Employee Assistance Program
Risks
Increased competition in subscription management tools may dilute Capital One's advantage.
Over-reliance on partnerships could expose Capital One to technological risks.
Departure of key personnel like Joe Rodriguez may affect risk management continuity.
Differentiation
Capital One offers user-friendly banking with no fees or minimums for checking accounts.
The company partners with Khan Academy to provide financial literacy education.
Capital One is the first major U.S. bank to offer subscription management tools.
Upsides
Capital One's mobile app is a model for secure, user-friendly digital banking.
Data sharing with Worldpay enhances payment security and fraud prevention.
Partnerships with fintechs like Minna Technologies improve customer experience.
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