Senior Analyst - DT Governance Risk And Compliance
ServiceNowSalary not specified
Full Time
Senior (5 to 8 years)
Not SpecifiedCompensation
Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, BankingIndustries
Requirements
- Bachelor's Degree or military experience
- At least 5 years of experience in Commercial Real Estate, Finance, Compliance, Economics, or Business
- At least 3 years of Financial Services Risk Management Experience
- 7 years experience in roles directly related to Fannie Mae or Freddie Mac Underwriting and Asset Management guidelines and protocols (preferred)
- Excellent written and verbal communication skills for reporting and liaising with key stakeholders, decision makers, and executive leaders both internally and externally (preferred)
- Strong ability to assess risks related to Agency requirements and make informed decisions (preferred)
- Knowledge of enterprise risk management frameworks and tools (preferred)
- Strong time management skills and ability to operate under demanding deadlines (preferred)
- Ability to work independently and in a team environment (preferred)
- Familiarity with internal audit and compliance processes (preferred)
Responsibilities
- Partnership with the business and technology to ensure Policies, Procedures, Job Aids, and vendor contracts are regularly updated and provide the right level of control oversight
- Collaborate with UWPM leads to review Guide updates and determine if process and/or document changes are needed
- Partner with key stakeholders to ensure implementation and training occur within designated timelines
- Establish QC protocols to monitor implementation
- Act as a liaison to the AML compliance office or other teams with respect to discovery reviews (e.g. WorldCheck, OFAC, etc) conducted for Agency loans
- Potential suspicious activity case oversight - coordination and follow-up between internal LOB teams (UW/AM/Production) and Legal, notifications to Agency, AML, and Commercial Risk
- Bringing specialized expertise and consistency in investigations across investigations
- Reviewing and analyzing financial information and accounting records, in support of internal and external suspicious activity requirements
- Assisting and coordinating with internal AML investigatory team, legal, and external Agency investigatory teams
- Developing and maintaining best practices, guidance and processes for suspicious activity identification, documentation and mitigation
- Serving as a technical resource for evaluation of new deals and post-closing defaults
- Assisting Legal with subpoenas/document requests
- Maintaining Agency Sponsor Monitoring List and ensuring updates are communicated to essential stakeholders
- Coordinate with Agency and Commercial Risk compliance leads for internal and external audits to ensure timely collection and delivery of requested documentation and inquiries to sustain and improve operational controls
- Coordinate responses and implementation of any needed process or procedure changes from findings, as applicable
- Oversee KPI reporting of Control audit as well as QC & QA findings to determine opportunities for process enhancements, trainings, etc
- Maintain the Delegation of Authority Matrix for UWPM Agency Finance teams
- Perform operational reviews conducted quarterly to monitor adherence to Policies, Procedures, and Guide requirements
- Ensure teams responsible for OFAC and exclusionary checks are performed timely and accurately
- Partner with ESM on the vendor management process. Perform ongoing vendor quality assurance testing to ensure industry best practices and contract compliance
Skills
Key technologies and capabilities for this role
Questions & Answers
Common questions about this position
Is this a remote position or does it require office work?
This information is not specified in the job description.
What is the salary or compensation for this Senior Manager role?
This information is not specified in the job description.
What key skills or experiences are required for this role?
The role requires expertise in risk governance, regulatory compliance, fraud investigations, audit coordination, and quality control processes, including collaboration with stakeholders like Legal, AML, and Commercial Risk.
What does the team structure or work environment look like at Capital One for this position?
This information is not specified in the job description.
What makes a strong candidate for the Senior Manager, Risk Governance position?
Strong candidates will have experience collaborating with Agency leadership, Legal, and risk teams on governance, fraud investigations, audit coordination, and quality assurance in a financial or regulatory compliance environment.
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.
Related Jobs
RemoteRemoteManager, Tax & Compliance
GranicusSalary not specified
- Full Time
- Expert & Leadership (9+ years)
RemoteDeputy Compliance Officer
Bitcoin DepotSalary not specified
- Full Time
- Mid-level (3 to 4 years), Senior (5 to 8 years)
RemoteAssociate Director - Capital Procurement Performance and Governance
Eli Lilly and CompanySalary not specified
- Full Time
- Expert & Leadership (9+ years)
RemoteReporter Fellow, Local Investigations
The New York TimesSalary not specified
- Full Time
- Junior (1 to 2 years)
RemoteSenior Fraud Risk Manager
Earnest$180,000 - $217,000/year
- Full Time
- Senior (5 to 8 years), Junior (1 to 2 years)
RemoteCompliance Specialist
AirtableSalary not specified
- Full Time
- Mid-level (3 to 4 years)
RemoteRisk Operations Manager
JobberSalary not specified
- Full Time
- Mid-level (3 to 4 years), Senior (5 to 8 years)