Senior Risk Specialist | Retail Bank

About the role

The Conduct Risk and Sales Practices Program team supports the Retail Risk MPG mission by enhancing the risk profile of the Retail Bank and Premium Products business. We are looking for a Senior Risk Associate who can become a subject matter expert in specific business areas within our Retail Bank, Premium Products, Capital One Shopping, and Enterprise Payments organization.

Responsibilities

• 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 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

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

• 2+ years of experience in Project or Process Management
• 2+ years 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