Director, Risk Management, Capital Markets

Director, Risk Management, Capital Markets

Commercial Risk is the first line of defense managing non-credit risk across the Commercial Bank lines of business, with its Risk Advisors accountable for managing all facets of non-credit risk by partnering  closely with and advising business leaders, while driving key risk initiatives. 

Capital Markets and Investment Banking capabilities at Capital One include: 

• Derivatives

• Debt & Equity Capital Markets

• Equity Sales, Research & Trading

• Loan Syndications

• Mergers & Acquisitions

• New Market Tax Credits

• Structured Products 

The successful candidate will assume a leadership role reporting to the Head of Capital Markets Risk Advisory, and manage a team of Capital Markets Risk Advisors in their day-to-day activities. As a leader of the Capital Markets Risk Advisor Team, your role will require excellent communication and interpersonal skills; the ability to work autonomously, identify areas of opportunity, and manage changing priorities. As well as, leveraging extensive Capital Markets experience, while demonstrating domain expertise to perform integrated problem solving. 

A successful candidate will be very comfortable both reviewing and producing detailed materials on a wide variety of risk topics and building meaningful relationships with line of business executives and partners throughout the organization.   

Responsibilities:

• As a first line of defense risk advisor, coordinate business interactions that add value and optimize efficiency for business leaders

• Manage tasks and activities related to proactive risk management initiatives to reduce the residual risk within the business

• Support the Head of Capital Markets Risk Advisory with ad-hoc deliverables and investigations

• Manage and develop a team of Risk Advisors in their day-to-day activities

• Deliver materials requested in audits and exams with various stakeholders across the lines of defense

• Provide excellent service to both business partners and teammates throughout the Commercial Bank

• Promote internal governance through the execution and oversight of multiple risk routines  

• Manage, implement, and deliver on a subset of risk program deliverables including: drafting communications, executing risk assessments, control development, drafting and maintaining  policies & procedures, refreshing business continuity plans, managing internal audits & external regulatory exams, and driving associated remediation efforts

• Act as issue lead on all issues & events (operational and regulatory breakdowns) related to the Capital Markets businesses and its Operations teams, including coordination of remediation activities

• Create, edit, and manage multiple facets of business unit risk reporting

• Provide risk management consultation to Capital Markets lines of businesses specific to: adherence to enterprise and commercial risk programs, proactive risk management through the development of risk mitigation plans, regulatory relations & compliance, and control development & testing amongst other risk-related issues as they arise

Basic Qualifications:

• Bachelors Degree or military experience

• At least 10 years of experience leading or supporting the Capital Markets business in one or more of the following capacities:

  • Sales & Trading

  • Structuring & Underwriting

  • Operations

  • Risk Management

  • Control Development & Testing

  • Compliance 

  • Audit 

Preferred Qualifications:

•  Masters Degree

•  At least 5+ years of experience leading and/or supporting a core function of a Derivatives Sales & Trading business 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, an