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.



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. 




Copy Link

Job Posting: 836985

Posted On: Aug 25, 2021

Updated On: Oct 12, 2021