Senior Risk Associate | Retail Bank

802 Delaware Avenue (18052), United States of America, Wilmington, Delaware
Senior Risk Associate | Retail Bank
The Conduct Risk and Sales Practices Program team supporting the Retail Risk MPG (Monitoring, Process, & Governance) mission is a passionate and dynamic team of risk professionals focused on enhancing the risk profile of our Retail Bank and Premium Products business through execution of certain mission-critical risk, process, and control programs.
We are seeking an inquisitive and organized team player to join us as Senior Risk Associate. As part of this horizontal 1st Line risk management function, this associate will have the unique opportunity to become a subject matter expert in the processes and controls across specific business areas within our Retail Bank , Premium Products, Capital One Shopping and Enterprise Payments organization. Day-to-day, this associate will be working with select business, Compliance, Human Resources and Risk stakeholders to consult and engage on various associate conduct risk and sales practice monitoring activities as well as participate in other related associate conduct or sales culture consultation and improvement initiatives.
As a Senior Risk Associate, you will:

• Assist in the execution of compliance monitoring program activities to identify potential associate conduct concerns
• Analyze certain data to identify associate misconduct and sales practice trends
• Convey complex ideas and data analysis through written and verbal communication confidently to various operational and compliance stakeholders.
• Support management in various conduct risk and sales culture practices including assisting with certain risk assessments for Senior Management
• Help with the identification and resolution of operational 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 and Premium Product groups to help document policies, processes, standards, and procedures to facilitate/demonstrate compliance with laws and regulations

• Proactively identify control enhancements and drive requirement gathering
• Work autonomously and consistently deliver results in an efficient and timely manner

Basic Qualifications:

• At least 1 year of Process Management experience
• At least 1 year of experience in Risk Management, Audit, Regulatory Compliance or Banking Operations
• At least 2 years of experience in Retail Banking or Financial Services
• At least 2 years of experience with GSuite and Microsoft Office

Preferred Qualifications:

• Bachelor's Degree
• 2+ years of experience in Project or Process Management
• 2+ year of experience in Controls Testing or Risk Management
• 1+ year of experience in Change Management
• 1+ year of experience supporting, partnering and interacting with internal business clients

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 the Capital 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.
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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).