Capital One has acquired United Income, a wealth management FinTech start-up that uses technology to unlock more effective ways to accumulate wealth and plan for retirement. The United Income Risk Office plays a key role in helping develop and maintain the risk management practices required for this registered investment adviser affiliate of a major financial institution. We are seeking a talented Manager to drive the integration and ongoing risk management support for this innovative, new business. You will be a critical member of a team in a high-growth area.
Managers in Risk Management at Capital One are highly motivated professionals with excellent organizational, leadership and communication skills. They have a high level of exposure across lines of business and the opportunity to work with Executives to create and implement innovative solutions to identify and mitigate potential risks to the Company.
- Guide and advise registered investment advisers on identifying and mitigating risks related to new processes, products and services
- Ensure the control environment is in place to meet regulatory and internal policy/standard requirements
- Facilitate detection and recovery of risk issues and events and ensure sustainable, well-managed solutions
- Provide transparent risk reporting
- Ensure effective risk management governance through collaboration with compliance, legal, internal audit and other functional partners
- Work with the enterprise to incorporate wealth management business in decisions, policies, and standards
- Serve as a subject matter expert on investment adviser risk management practices
- Collaborate effectively across multiple organizations such as Operational Risk Management, Enterprise Risk Management, Compliance,, Information Technology, Internal Audit, Regulator Relations, etc. to achieve objectives.
- Advise senior leaders across the business regarding potential risks and risk mitigation strategies, including the BCRO for Financial Services.
- Monitor changes to requirements and controls and govern the process for implementing those changes into the risk system of record.
- Bachelor’s Degree or military experience
- At least 3 years of experience in one of the following: risk management, compliance or legal practice
- At least 1 years experience in the investment advisory industry
- At least 3 years of Project or Process Management experience
- At least 3 years of experience supporting, partnering and interacting with internal business clients
- At least 1 year of experience with the asset and wealth management industry, including the Investment Advisers Act of 1940 and related SEC regulations
- Experience with integrating small companies into large companies or incubating small companies within large organizations
- At least 1 year of people management experience
- 4 years of Project Management experience leading cross functional projects and programs in Risk
- 4 years of Financial Services risk management experience
- Ability to set direction, manage expectations and lead cross-functional teams
At this time, Capital One will not sponsor a new applicant for employment authorization for this position
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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One’s recruiting process, please send an email to Careers@capitalone.com
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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).
Who We Are
At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.
Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.