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