Capital One Financial Corporation
Compliance Advisor - AI/Machine Learning, Marketing and Messaging
Capital One Financial Corporation, Richmond, Virginia, United States, 23214
Compliance Advisor - AI/Machine Learning, Marketing and Messaging
Capital One’s technology transformation has presented an exciting opportunity to usher in leading edge, innovative approaches to compliance risk management in close partnership with our business clients. Capital One is increasingly using technology to further its most dynamic, innovative products, which calls for new, creative ways for us to think about compliance and risk in a way that helps the business succeed, safely and quickly. The Enterprise Services Division is at the center of these activities, driving Capital One’s strategic agenda.Enterprise Services consists of 11 distinct business units, including Technology, Enterprise Product and Experience, Enterprise Artificial Intelligence/Machine Learning, Brand and Capital One Software. This role will primarily be supporting our Enterprise Product and Experience business area that provides critical services to support mobile/web customer servicing and innovative digital products and our Enterprise AI/ML business area that spearheads development of AI-driven products, platforms, and experiences. In this role, you will support key strategic business objectives where you will need to provide Compliance guidance in a clear, solution-oriented and customer-focused manner.The Compliance Advisor Manager will support the implementation and management of a robust Risk and Compliance Management program across the assigned client groups. The successful candidate will be self-starting and entrepreneurial, seeing beyond the present to identify tomorrow’s risks, and be able to integrate themselves seamlessly into existing and emerging business lines.Here’s how you’ll operate:Serve as a trusted advisor with product, business and risk teams in the assigned business areas of Enterprise Services to identify, document and effectively mitigate compliance riskDevelop innovative approaches to drive regulatory compliance in a way that enables business growth, profitability, and competitive success for Capital One in the face of shifting regulatory demandsCoordinate across, business, risk and compliance teams to meet requirements outlined in the Compliance Management ProgramAssess process breakdowns for regulatory impactPerform compliance risk assessments and document results for contribution in senior management level reportingReview business risk compliance monitoring results and periodically validate that monitoring processes/methods are reliableLead/participate in cross-functional and enterprise-wide compliance projects, programs and initiatives as requestedRepresent Compliance through active participation on project teams by providing compliance expertise, advocacy, and role model leadershipStaying abreast of relevant compliance and employment laws, practices, and issues affecting the business environment, domestically and internationallyAttributes of the successful candidate also include:Knowledge of legal, regulatory, policy and compliance requirementsStrong understanding of our businesses and the Digital/FinTech environmentAbility to build trust and relationships through teamwork and collaborationA passion to develop and manage relationships to influence and work effectively with individuals at all levelsBasic Qualifications:Bachelor’s degree or military experienceAt least 3 years of experience in a risk, compliance or legal role within a FinTech, Financial Services or Technology organizationPreferred Qualifications:Proven track record of partnership with cross-functional colleagues to drive progress and resultsDesire and aptitude to think strategically and innovatively with a proven track record for delivering resultsAbility to thrive in a fast-paced, entrepreneurial and dynamic environmentProven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organizationHigh energy and a desire to work in a results-oriented, rapid growth environmentA team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skillsAbility to prioritize among many conflicting needs, to advocate for a course of action, and to pursue it consistently, while remaining flexible and responsive to dynamic situationsExcellent verbal and written communication and presentation skillsAt this time, Capital One will not sponsor a new applicant for employment authorization for this position.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website.This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace.
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Capital One’s technology transformation has presented an exciting opportunity to usher in leading edge, innovative approaches to compliance risk management in close partnership with our business clients. Capital One is increasingly using technology to further its most dynamic, innovative products, which calls for new, creative ways for us to think about compliance and risk in a way that helps the business succeed, safely and quickly. The Enterprise Services Division is at the center of these activities, driving Capital One’s strategic agenda.Enterprise Services consists of 11 distinct business units, including Technology, Enterprise Product and Experience, Enterprise Artificial Intelligence/Machine Learning, Brand and Capital One Software. This role will primarily be supporting our Enterprise Product and Experience business area that provides critical services to support mobile/web customer servicing and innovative digital products and our Enterprise AI/ML business area that spearheads development of AI-driven products, platforms, and experiences. In this role, you will support key strategic business objectives where you will need to provide Compliance guidance in a clear, solution-oriented and customer-focused manner.The Compliance Advisor Manager will support the implementation and management of a robust Risk and Compliance Management program across the assigned client groups. The successful candidate will be self-starting and entrepreneurial, seeing beyond the present to identify tomorrow’s risks, and be able to integrate themselves seamlessly into existing and emerging business lines.Here’s how you’ll operate:Serve as a trusted advisor with product, business and risk teams in the assigned business areas of Enterprise Services to identify, document and effectively mitigate compliance riskDevelop innovative approaches to drive regulatory compliance in a way that enables business growth, profitability, and competitive success for Capital One in the face of shifting regulatory demandsCoordinate across, business, risk and compliance teams to meet requirements outlined in the Compliance Management ProgramAssess process breakdowns for regulatory impactPerform compliance risk assessments and document results for contribution in senior management level reportingReview business risk compliance monitoring results and periodically validate that monitoring processes/methods are reliableLead/participate in cross-functional and enterprise-wide compliance projects, programs and initiatives as requestedRepresent Compliance through active participation on project teams by providing compliance expertise, advocacy, and role model leadershipStaying abreast of relevant compliance and employment laws, practices, and issues affecting the business environment, domestically and internationallyAttributes of the successful candidate also include:Knowledge of legal, regulatory, policy and compliance requirementsStrong understanding of our businesses and the Digital/FinTech environmentAbility to build trust and relationships through teamwork and collaborationA passion to develop and manage relationships to influence and work effectively with individuals at all levelsBasic Qualifications:Bachelor’s degree or military experienceAt least 3 years of experience in a risk, compliance or legal role within a FinTech, Financial Services or Technology organizationPreferred Qualifications:Proven track record of partnership with cross-functional colleagues to drive progress and resultsDesire and aptitude to think strategically and innovatively with a proven track record for delivering resultsAbility to thrive in a fast-paced, entrepreneurial and dynamic environmentProven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organizationHigh energy and a desire to work in a results-oriented, rapid growth environmentA team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skillsAbility to prioritize among many conflicting needs, to advocate for a course of action, and to pursue it consistently, while remaining flexible and responsive to dynamic situationsExcellent verbal and written communication and presentation skillsAt this time, Capital One will not sponsor a new applicant for employment authorization for this position.Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website.This role is expected to accept applications for a minimum of 5 business days. No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. Capital One promotes a drug-free workplace.
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