Senior Executive/Executive in charge of compensation and compliance at Orfium, ensuring legal adherence and proper employee relations while managing benefits and compensation strategies.
About the role
- Director of Compliance managing Conflict of Interest and Gifts and Entertainment Programs at Capital One. Advising on legal matters, supervising compliance teams, and conducting reviews across various business sectors.
Responsibilities
- Managing the interaction models and developing new frameworks associated with COI and G&E programs.
- Building and maintaining strong collaborative relationships with partners across Capital One, including HR, Legal, Compliance, External Affairs, Capital One Software, Capital One Ventures, Risk Management, and other impacted lines of business, and with outside counsel.
- Significant experience drafting legal memoranda analyzing complex factual scenarios and providing options and recommendations for consideration in decision-making.
- Analyzing, resolving, and documenting complex, sensitive, and escalated COI and G&E disclosures particularly those involving investments in venture funds, Special Purpose Vehicles (SPVs), and private companies.
- Supervising a team responsible for conducting initial assessments, fact-finding, and interviews supporting the analysis and resolution of COI and G&E disclosures from current associates, executives and candidates.
- Providing oral and written briefings for senior leadership, up to and including the Managing Vice President of Corporate Integrity and Chief Ethics Officer.
- Developing/maintaining an Enterprise-wide process to promote disclosure of potential COIs and G&Es, as well as programs to monitor adherence to conditions designed to mitigate conflicts related to the same.
- Implementing case management best practices and leveraging technology to gain efficiencies; manage increasing volumes of COI and G&E disclosures and scale the COI/G&E disclosure programs; and enhance analyses and monitoring activities.
- Managing the identification of trends, emerging risks, and insights to inform ongoing development of the programs.
- Contributing perspective and expertise to broader and related Corporate Integrity initiatives, such as the Company’s Code of Conduct, industry benchmarking, and additional program builds.
- Prioritizing among multiple tasks and responsibilities in a fast-paced, dynamic environment.
- Serving as a member of the senior leadership team in the Office of Corporate Integrity and supporting the mission thereof.
Requirements
- Juris Doctorate degree
- At least 10 years of experience in Corporate Ethics, Government Regulatory Enforcement, Legal, Compliance, or Risk Management
- At least 3 years experience in legal casework involving financial services
- At least 3 years of experience leading teams or people management
- At least 5 years of experience working in financial services (preferred)
- At least 5 years of experience in Ethics, Risk, Compliance Programs or a combination with a focus on analyzing COI disclosures and G&E requests (preferred)
- Experience collecting, analyzing, and measuring process data to initiate sustainable business practices, procedures, and to report to senior leadership and executives (preferred)
- Experience with program management, change management, maintenance of program governance documents or a combination thereof (preferred)
- Experience communicating with senior executives about sensitive matters (preferred)
- Proficiency in the Google Suite (Google Docs, Slides, Sheets) (preferred)
Benefits
- comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
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