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Manager, TRM Compliance & Governance

BlueTarp Financial

BlueTarp Financial

Richmond, VA, USA
Posted on Tuesday, June 18, 2024


West Creek 3 (12073), United States of America, Richmond, Virginia Manager, TRM Compliance & Governance

Capital One is one of the fastest growing organizations in the world today, powered by our passion for our customers. We are serious about technology, we dream big, and we execute: Capital One moved our entire enterprise to the public cloud over the course of five years. Just as we prioritize driving innovation through technology, we equally prioritize cybersecurity, reliability, and managing technology risk.

For years, the cybersecurity community has debated whether the CISO should report to the CIO or not. In regulated financial services, the answer is: both. The first-line CISO has operational responsibilities and reports to the CIO. The second-line Chief Tech Risk Officer (CTRO) and the Technology Risk Management (TRM) organization have broader responsibilities for cybersecurity but also reliability, software quality, resilience, and other technology risks. The CTRO is independent, reports to the Chief Risk Officer, and oversees the work of the CISO and the CIO.

Technology Risk Management (TRM) is a small organization that packs a big punch. The ~100 professionals in TRM are trusted experts who oversee ~14,000 developers at Capital One. We raise the bar for excellence in cybersecurity, reliability, and tech risk. We shape strategy and decisions, challenge activities to ensure they meet our standards, and perform independent tests of our security and technology risk.

Our business leaders must make technology decisions constantly. TRM makes sure they have the tech risk information they need to make good decisions. Associates within TRM are highly-skilled information security, cybersecurity, site reliability engineering, technology, and risk management professionals. They have a wealth of experience and a demonstrated ability to add value with their advice and to deliver high-impact results.

This position – Manager, Compliance & Governance – will play a key role in assessing and enhancing the organization’s compliance with cybersecurity and technology risk management requirements by serving as a compliance advisor for cyber and technology risk. This includes ensuring a governance framework that enables effective risk management is in place, as well as coordinating and executing the assessment of the compliance impacts of risk taking activities and evaluating new laws and regulatory requirements to understand their implications. In addition to coordinating and executing compliance assessment activities, this role will involve developing reports on assessment results and preparing these results to management and other stakeholders.

As part of the second line of defense, you will work closely with associates in Cyber, Technology, the Lines of Business, and other risk management offices to perform and support evaluations of the firm’s risk posture and offer independent advice and recommendations regarding ways to reduce risks.

As a member of a growing organization, you will have the opportunity to shape and further refine your portfolio commensurate with the priorities of the organization and the firm. The position affords opportunities for substantial growth. The demands and high-visibility nature of this position require an individual with a proven ability to work independently in a fast-paced environment and who can begin contributingimmediately.

Essential Functions (Responsibilities):

  • Understand and assess the inventory of technology and cyber risk management related laws and regulations, as well as industry standards such as the NIST CSF and FFIEC guidance, and how they translate into organizational requirements and controls.

  • Inventory, monitor and report on the set of technology and cybersecurity risk management requirements, as well the control coverage, identifying and escalating risks as appropriate.

  • Coordinate and execute compliance assessments for risk taking activities and process breakdowns against these organizational technology and cybersecurity risk management requirements, including any planned remediation; ensuring the team has a documented, rationalized and repeatable assessment methodologies.

  • Perform technology and cybersecurity risk management requirement applicability and impact assessments against business, technology and cyber processes.

  • Understand and assess the impacts of new laws and regulations and integrate those into compliance management activities.

  • Work with internal and external stakeholders to develop and/or enhance existing compliance assessment reporting, and draft assessments for senior management and other stakeholders, to include regulatory agencies and the Board of Directors, as needed.

  • Stay current on emerging cyber threats and potential implications to the firm.

  • Collaborate effectively with colleagues, stakeholders, and leaders across multiple organizations to achieve objectives.

Basic Qualifications:

  • Bachelor’s degree or military experience

  • At least 3 years of experience managing, consulting, auditing, or At least 3 years of experience working in the fields of information security, technology, or risk management

  • At least 3 years of experience developing, evaluating, or implementing cybersecurity, technology or compliance risk assessments

Preferred Qualifications:

  • At least 4 years of experience in a second-line or oversight role at a financial institution or regulatory agency, to include the development and oversight of risk management metric reporting

  • Knowledge of supervisory expectations expressed in the FFIEC IT Handbook, Federal Reserve Supervisory Letters, Office of the Comptroller of the Currency Bulletins, or Federal Deposit Insurance Corporation Financial Institution Letters

  • Professional security management certifications, such as a Certified Information Systems Security Professional (CISSP) or Certified Information Security Manager (CISM)

  • Excellent verbal and written communication skills

  • Passion and expertise in cybersecurity, with the ability to be provide credible challenge when necessary

  • Ability to manage multiple projects while maintaining superior results

  • Ability to work cross-functionally, individually, or to lead work among a team

  • Execution oriented and a self-motivator

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, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

New York City (Hybrid On-Site): $147,800 - $168,700 for Risk Manager

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days. 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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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

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