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Sr. Risk Associate, Small Business Conduct Risk Su

at Capital One Services II, LLC in Wilmington, Delaware, United States

Job Description

Job ID: R120932

 

Center 1 (19052), United States of America, McLean, Virginia

 

Sr. Risk Associate, Small Business Conduct Risk Support

 

Retail Bank Risk Office is seeking a highly self-motivated and analytical thinking risk manager to support the growing Conduct Risk program, specifically Small Business. The Risk Office is accountable to provide actionable insight to Small Business operations, including identifying emerging risks and trends. This role requires strong collaboration with business partners across Capital One lines of business, as well as Legal, Compliance, and the broader Bank Risk Office.

 

Responsibilities:

Risk Management:

 

Support risk management in Small Business Conduct Risk and Small Business sales culture and contribute to assessments for Senior Management

 

Support the risk assessment of the Business Bankers incentive program, including 2nd line testing

 

Identify and resolve risk events / issues impacting customers stemming from process breakdowns or other problems while developing permanent corrective actions

 

Identify control gaps and proactively identify opportunities for process improvement

 

Partner with Retail Banking groups to document policies, processes, standards, and procedures to facilitate/demonstrate compliance with laws and regulations

 

Assist in the development and implementation of risk management controls in PRIME

 

Coordinate business responses to internal audits and external exams

 

Project/Process Management:

 

Lead cross-functional team meetings to identify emerging risks and trends to create talking points to Senior Management and corporate compliance leadership

 

Establish a process for root cause analysis, customer remediation, and tracking for sales practice abuse cases

 

Proactively identify control enhancements and drive requirement gathering

 

Basic Qualifications:

 

Associate's Degree or military experience

 

At least 1 year of experience in Audit or Risk Management or Regulatory Compliance or Banking Operations

 

At least 2 years of experience in Retail Banking

 

At least 2 years of experience with GSuite and Microsoft Office

 

Preferred Qualifications:

 

Bachelor's Degree

 

1 + years of process or project management experience

 

Knowledge of Small Business operations and products

 

Knowledge of Sales Practices and Conduct Risk

 

Ability to manipulate Data to identify insights

 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

 

Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace. 

 

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

 

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; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries. 

 

 

 

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Job Posting: 836985

Posted On: Aug 25, 2021

Updated On: Oct 12, 2021