Lead compliance oversight for the Pan European Citco entities. Build stakeholder relationships and manage compliance risks across the organization.
About the role
- Director overseeing compliance testing to validate processes and controls for financial services division at Capital One. Leading risk-based approach, managing staff, and developing relationships with compliance partners.
Responsibilities
- Oversee transaction testing and control testing
- Manage staffing assignments to ensure successful completion of calendar commitments
- Develop and sustain an evolving risk based approach to optimize testing coverage and review of high/emerging risks
- Invest in associate development to ensure high quality results
- Lead the annual calendar planning for compliance testing for the Auto division and Fair and Responsible Banking requirements
- Sustain a cadence of continuous improvement
- Review the work product of the team for accuracy, completeness and ensuring correct framing of risks
- Formally document and present results from compliance testing to senior management and executives
- Establish and maintain strong relationships with compliance and business partners at all levels
- Provide support to audit and exams as needed
Requirements
- Bachelor’s Degree or military Experience
- At least 7 years of experience working in financial services in risk, compliance, audit or legal
- At least 3 year of people management experience
- Master's degree or Juris Doctorate (Preferred)
- At least 10 years of experience working in financial services within compliance, audit, or an analytical discipline (Preferred)
- At least 10 years of experience in risk management, compliance, compliance testing, audit or a combination (Preferred)
- At least 5 years of financial services consumer compliance monitoring experience (Preferred)
- At least 5 years of people management experience (Preferred)
- Certified Regulatory Compliance Manager (CRCM) accreditation (Preferred)
- Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives (Preferred)
Benefits
- Comprehensive and competitive health, financial and other benefits that support your total well-being.
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Compliance Manager overseeing compliance controls and advisory for Kepler Cheuvreux in Paris. Responsible for managing non - compliance risks and guiding junior staff while utilizing automation tools.
Employee Health & Benefits Regional Compliance Specialist ensuring compliance with health and welfare regulations. Conducting client reviews, training sessions, and collaborating with national compliance partners.
Junior Compliance Officer at DXC managing compliance with regulations and standards across teams. Focus on governance, risk, and technology to improve processes and support teams.
Quality Technician at Henry Schein ensuring compliance with ISO 9001 through quality system maintenance and audit participation. Collaborating across departments for effective quality management in healthcare.
Regulatory Affairs Specialist managing complex product registrations and compliance in LATAM. Collaborating with regulatory authorities and providing documentation for approvals in the food sector.
Regulatory Specialist enabling compliant innovation and successful market access in health and biosciences across Latin America. Collaborating with various teams to ensure regulatory compliance and successful product launches.
Compliance Manager at TD Bank overseeing regulatory compliance for Digital Banking and vendor oversight. Leading compliance monitoring and providing guidance on regulatory requirements with a focus on consumer banking.
Senior Analyst in governance of accesses ensuring critical access requests at Riachuelo. Responsible for data governance and risk control strategies in São Paulo.
Compliance Analyst ensuring adherence to legal and company standards at Copa Energia, monitoring training programs and supporting data protection compliance.