The Compliance Department at Capital One is creating a dynamic and innovative work environment to enable associates to use their experience and expertise to drive important projects and high priority deliverables. Compliance continues to elevate its presence across Capital One by fostering an environment where collaboration, openness and ingenuity are valued. We obsess about doing the right thing and we believe that innovation is powered by the desire to deliver superior results. We are an entrepreneurial team that embraces bold ideas and if you have the drive for building amazing customer experiences that are driven by data and insight, we want you!
The Compliance Governance Risk Specialist for testing & innovation practices management will partner with the Compliance Testing Innovation & Governance lead, bringing quantitative, data and analytical skills to bear in governance of compliance testing.
They will manage the compliance testing practices, including executing annual planning & calendaring, maintaining strong governance for the Reveal workpaper platform and templates for all Compliance testing types.
They will also implement strong governance for innovative solutions related to the workpaper platform, including governance for incorporating advanced technology in testing to enhance and complement human testing capabilities (e.g. code that evaluates a full population, machine learning, or artificial intelligence).
They will implement enhancements to the existing portfolio of dashboards, visualization tools and reports, as well as drive standardization of data management and troubleshooting when issues arise.
They will identify opportunities to package compliance testing data into formats that are intuitive to use and that bring valuable insights for stakeholders.
The ideal candidate has an understanding of audit or testing methodology, coupled with an aptitude for tools/systems, technology, and a passion for process excellence. The ideal candidate will have an interest in learning about artificial intelligence governance frameworks. This role requires highly motivated Risk Management professionals with excellent organizational and communication skills.
General Responsibilities:
Create and execute well-managed testing and data governance solutions, tools, templates and protocols that equip Compliance testers to effectively and efficiently perform calendaring, planning, and testing
Partner with colleagues to continually assess and enhance the workpaper documentation platform, testing workbooks, job aids, dashboards and reports to incorporate user feedback and align to strategic shifts in methodology; serve as a liaison to local governance and enterprise testing teams
Partner with the Analytics & Innovation and Product teams and engage in design, piloting, testing and refinement of relevant new and enhanced initiatives that support testing activities
Research, design, and implement governance processes for innovative practices related to strategic and product initiatives that support testing
Perform quality assurance of completed documentation, coverage reporting, and testing; validate remediation
Create and send stakeholder surveys; aggregate results; recommend and implement process excellence opportunities for improvement
Suggest opportunities and act on requests to design and develop tools, techniques, metrics and dashboards for insights and data visualization
Prepare metrics, deliverables and decks to demonstrate strong governance
Play an active role in the process excellence journey, enhancing existing risk diagnostics and rolling out new line of business (LOB) aligned reporting of assessment outcomes
Contribute to Compliance exams, audits and strategic initiatives
Assist in building requirements and applying product features to improve reporting, streamline and automate testing & other Compliance Governance related activities
Basic Qualifications:
GED, High school diploma, or equivalent certification
At least 2 years experience in compliance, audit, risk management
At least 2 years of experience in data analysis, or data management, or data quality assurance
At least 2 years of Google Suite experience (Studio, Drive, Slides, Docs, Sheets and Analytics)
At least 2 years of experience performing v-lookups, sheets or excel formulas such as query and importrange, data extraction and manipulation
Preferred Qualifications:
Bachelor's Degree
At least 3 years of experience in a risk or compliance role within Financial Services, Technology, Consulting, Legal or Audit
At least 1 year of experience with audit or testing background
At least 1 year of experience using a business intelligence visualization tool (Tableau, Looker Studio)
At least 1 year of experience with stakeholder communications or email tools
Ability to manage and prioritize multiple tasks daily
Ability to work independently and in a team structure with a diverse group of individuals
Proactivity; track record of anticipating and suggesting solutions to problems
Strong verbal and written communication skills
Strong interpersonal and relationship-building skills, with a positive and collegial attitude
Demonstrated ability to explore and quickly grasp new technologies and tools as well as internal systems
Artificial intelligence governance professional certification or willingness to pass the certification
At 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 theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
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. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).