Head of Legal, Risk, and Compliance
Built TechnologiesSalary not specified
Full Time
Senior (5 to 8 years)
Not SpecifiedCompensation
Expert & Leadership (9+ years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, BankingIndustries
Requirements
- Experienced leader with a proven record of consistently delivering significant business impacting results
- Understanding that managing risks requires trade-offs
Responsibilities
- Ensure the UK business has the right strategic conversations on risk and customer outcomes, reporting appropriately to governing bodies and parental organisation (including chairing the Customer Outcomes and Insight Committee)
- Act as an advisor and challenger to business leaders on risk matters, leaning in to solve problems to sustain a dynamic and well controlled business and deliver on business goals
- Ensure the UK business has processes in place to comply with elevated risk management expectations of shareholders, regulators, UK leadership team, and UK Board of Directors
- Create, execute, and champion an integrated risk management framework to help the UK Card business mitigate risks, understanding both positive and negative potential
- Promote a well managed culture throughout the organisation, drive changes to reach the next stage of risk maturity, aggregate all risk categories, and integrate them into management routines and conversations
- Perform risk assessments, escalate risks or breaches of risk appetite where appropriate, transparently report to management on all risk-related matters, lead decisions to accept and mitigate risks, and advise on relevant projects and business as usual activities
- Own the vision for and monitoring of the UK control environment, working with leaders to establish and manage control frameworks, and enhance control coverage where required
- Ensure the UK business has Business Continuity and Operational Resiliency plans that are right-sized, adapt to local regulation, and remain compliant with enterprise policy
- Oversee delivery of all Enterprise Risk programmes (including Launch process, Risk and Control Self Assessments, and Process and Product Level Assessments) to a high standard, streamlining processes to focus on areas of greatest risk
- Own the Journey Testing agenda to drive insights into customer outcomes and identify areas for improvement
- Drive creation of effective metrics and reporting to support compliance with policies and provide insights to enhance processes in areas of greatest risk
- Lead a high-performing, diverse, and inclusive team of risk professionals to deliver effectively and efficiently on UK business needs
Skills
Risk Management
Governance
Regulatory Compliance
Strategic Leadership
Stakeholder Management
Customer Outcomes
Integrated Risk Framework
Committee Chairing
Business Advisory
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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