Senior Director, Compliance

Senior Director, Sanctions Compliance

Capital One’s Anti-Money Laundering (AML) Program is a core risk management function within Capital One’s Enterprise Risk Organization. Capital One has a highly motivated, mission-driven AML and Sanctions team focused on enabling rigorous, nimble, and sustainable risk management, delivered through partnership between the first, second, and third lines of defense, and tailored to Capital One’s products, services, risks, and capabilities.

Capital One is seeking a senior leader to join its sanctions and screening compliance function, leading strategy and delivery for the sanctions compliance, trade compliance, and enterprise screening programs. We are seeking a results-oriented and forward leaning candidate with the experience, subject matter expertise, regulatory credibility, and proven operational effectiveness in a highly-regulated environment to join a high-performing team.

• Lead the execution, evolution, and continuous improvement of Capital One’s enterprise-wide sanctions and trade compliance function.
• Serve as an authority within Capital One for all relevant sanctions and trade compliance laws, regulations, expectations, and developments.
• Lead a team of sanctions and trade compliance professionals, evaluating new economic sanctions and trade compliance programs and developments to ensure timely and effective compliance. Evaluate business initiatives and processes from a sanctions and trade compliance perspective, including new ventures, products, services, and operating systems.
• Manage a diverse and geographically dispersed group of professionals, including a screening investigations team that executes Capital One’s enterprise AML and sanctions screening program, driving high quality performance and process excellence.
• Build strong partnerships and collaborate with business, technology, and other stakeholders to reach optimal business and risk management outcomes in a dynamic and fast-moving environment.
• Lead interaction with global sanctions agencies, external regulators, and internal oversight functions regarding all aspects of sanctions and trade compliance and list screening activities.
• Prepare and oversee the reporting of compliance results to senior management and the Board of Directors, as appropriate.
• Display a high degree of emotional intelligence, foster good team dynamics and collegiality, and maximize the potential of team members.

• Demonstrated ability to formulate a strategic vision for a risk management, compliance, or regulatory organization while providing meaning, context, and motivation to execute strategic priorities.
• Understand and embrace the power of technology, analytics, and automation to drive error-free execution.
• 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.
• 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.

• Bachelor’s Degree or Military experience.
• At least 5 years of experience in Economic Sanctions in banking, legal, compliance, risk management, or regulatory settings.
• At least 5 years of people management experience.

• Master’s Degree or Juris Doctorate degree.
• 10+ years of experience in Economic Sanctions in banking, legal, compliance, risk management, or regulatory settings.
• 5+ years of relevant experience at the Office of Foreign Assets Control (OFAC), U.S Treasury Department, U.S. Department of Justice, or as a prudential regulator.
• 5+ years of experience in other areas of Anti-Money Laundering compliance.

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…