Director, Compliance

hace 2 semanas

Valle de Chalco Solidaridad, México Capital One A tiempo completo
WeWork Reforma Latino , Mexico, Ciudad de Mexico, Ciudad de Mexico
Director, Compliance (Mexico)

Director, Compliance (Mexico)

THE POSITION

The Director, Compliance will lead the second line Compliance function for Capital One Technology Labs Mexico. We're growing our tech teams globally and are expanding to Mexico City. The Tech Lab designs and builds products that are revolutionizing the fintech industry, making contributions to Open Source software and the tech community as well as shaping foundational platforms (e.g. standardizing software delivery, advanced cyber defense and empowering customer solutions)

You will provide expert advice to the business on regulatory matters and oversee governance of Capital One's Compliance Management Program. You will advise and challenge business leaders on the development and delivery of products, services and overall operations of the Technology Labs Mexico supporting the business to ensure activities are performed in accordance with applicable Mexican and US laws. This role will require the ability to build and maintain strong relationships with key first and second line business partners, such as Human Resources, Privacy, Risk Management and Legal, both within the US and Mexico.

You will thrive in an agile, fast-paced environment and have a strong background in Mexican laws and regulations required to support a technology development and engineering organization.

Location: Mexico City, Mexico

KEY RESPONSIBILITIES

  • Manage the maintenance, evolution, and continuous improvement of the compliance risk management function for Capital One's Technology Labs Mexico by providing support, advice, and counsel on complex risk issues and by challenging the adequacy of controls for core business functions and processes.
  • Serve as an authority within the Technology Labs Mexico for relevant compliance expectations, laws, and regulations, and the impact of changes on the business
  • Play a leading role in actively promoting a culture of compliance risk management and balanced risk taking, while ensuring appropriate monitoring is in place to identify process breakdowns and facilitating comprehensive corrective action
  • Build strong partnerships with Tech risk advisors (Legal, HR and Enterprise Services) and with company-wide risk advisors (such as Privacy) to ensure consistent and comprehensive guidance is provided to the business
  • Implement changes in regulations, advise the business on mitigating controls, and provide management reporting on the state of compliance
  • Understand expectations from external entities, such as auditors and regulators, and partner with first line leadership on ensuring compliance;
  • Monitor work plans for remediation of any internal or regulatory findings within the business area of responsibility
  • Display a high degree of emotional intelligence, foster good team dynamics, respond effectively to address employee concerns, and maximize the potential of team members

CRITICAL COMPETENCIES

The ideal candidate will be a seasoned compliance professional with a proven ability to operate effectively in a complex, highly-regulated environment.

Strong Business Judgment

  • Strong business judgment, analytical acumen, and the ability to evaluate complex, multi-dimensional situations and risk characteristics and to formulate appropriate compliance recommendations and advice
  • Proven capability to influence and build consensus among peers and senior leadership leveraging sound logic and analysis

Communication

  • Highly developed interpersonal, presentation, and communications skills (both verbal and written)
  • Ability to communicate effectively at all levels of the organization, as well as with external parties (such as regulators and consultants)

BASIC QUALIFICATIONS

  • At least 10 years of experience in compliance management, risk management, or legal role within a financial or FinTech institution;
  • At least 3 years of experience working with audit and regulatory exams;
  • At least 3 years of experience working in an agile work environment;
  • Fluent in Spanish and English, both spoken and written

PREFERRED QUALIFICATIONS

  • Advanced degree (JD, MBA, MA)
  • Proven record of innovation and process improvements; and
  • Ability to work in a fast-paced work environment with an ability to influence others.
At Capital One, we respect individual differences in culture, religion, and ethnicity. Likewise, we promote equal opportunities and development for all personnel. In the hiring process, we seek to provide equal employment opportunities to candidates, regardless of race, color, religion, gender, sexual orientation, marital or civil status, national origin, disability, or any other situation protected by federal, state, or local laws.

For technical support or questions about Capital One's recruiting process, please send an email to

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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, any position posted in the Philippines is for Capital One Service Corp (COPSSC), and any position posted in Mexico is for Capital One Technology Labs Mexico.


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