Manager, Process Management, Regulatory Operations

161 Bay Street (93021), Canada, Toronto,Toronto, Ontario,
Manager, Process Management, Regulatory Operations
Manager, Process Management, Regulatory Operations
Our Capital One Process Team.
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, that teamwork and respect for each other lead to superior results, and that risk management is everyone’s job. 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.
Working with us
How do we do things at Capital One Canada? We listen — to our people, and to our customers. We change with the times and have adopted a flexible hybrid model (remote and/or in-office). A flexible hybrid working model is one that creates the opportunity to match the work that we do to the environment that best supports that work. We recognize that everyone has a unique working pattern so we’re open to discussing flexible working arrangements that will best accommodate you.
At Capital One we’re committed to diversity, inclusion and belonging. We strive to build a culture where diverse perspectives are valued, innovative ideas are encouraged and inclusive behaviours are embedded in everything we do to positively impact associates. Strive to build a culture where diverse perspectives are valued, innovative ideas are encouraged and to help challenge the status quo and create the best outcomes for everyone.
We’re focused on helping associates live well — physically, financially and emotionally. When you join us, we support you and those who are most important to you, offering full coverage for spouses, domestic partners, and dependents. We’ve designed our benefits program to be flexible, comprehensive and consistent across our organization. From health and fitness center discounts, to training and professional development programs — and much more — you’ll discover that Capital One is committed to helping you live your best life.
Capital One Canada is an equal opportunity employer committed to fostering a diverse and inclusive work environment. We consider all qualified applicants and will meet the needs of those requiring reasonable accommodations.
A day in the life of a Capital One Manager, Process Management, Regulatory Operations

The Customer Servicing Team includes servicing interactions with customers through different touch points including phone and digital. As a key member of the team, the Manager, Regulatory Operations will play a crucial role in leading a team that is responsible for ensuring our customers are compliant with Know Your Customer / Anti Money Laundering (KYC/AML) regulations and their information is being reported accurately to the credit bureaus. We are seeking a leader who can effectively communicate and influence partners across multiple functional areas along with bringing a problem-solving mindset to improving processes in a highly regulated environment. Knowledge of how to navigate regulatory requirements, as well as the development and management of process controls, will be critical to maintaining well-managed processes.
The Manager, Regulatory Operations is a highly motivated individual with experience working in a fast paced and dynamic environment who will:

• Proactively identify and mitigate risk through implementing resilient processes and using quality management tools
• Apply excellent leadership skills such as exceptional learning agility, communication and change management to help drive key priorities like product launches, technology changes, and continuous improvement initiatives
• Exercises judgment to identify, diagnose, and solve problems
• Demonstrate an exceptional risk mindset
• Focus on the sustainable implementation of systems and processes, and promote an environment where innovation and agile-learning are expected for success
• Demonstrate excellent interpersonal, communication, influence and organizational skills
• Exhibit strong people management skills; foster an inclusive culture that enables the team to elevate each other
• Lead large strategic initiatives and overall business management activities for Reg Ops processes
• Leverage team and other external stakeholders to get work done
• Manage the development and deployment of the management system to enable associates to collaborate, define intent, monitor performance, and improve our processes to deliver better experiences for our customers

Be ready to join a community with some of the most talented people you’ve ever met, who see the customer first, and want to use their skills to make a difference. And, as a founder-led company, we’re inspired to make, break, and do good. So, let’s create something great together.
Want to learn more? Check out life at Capital One!
Responsibilities:

• Develop and maintain a high level of expertise in all regulations, directives and guidance which apply to the bank’s AML/KYC and Credit Bureau processes
• Lead a team of process managers and guide them on designing, managing and improving the critical business process and its contribution to the overall business strategy
• Elevate high profile issues/risk to Compliance and business management for prompt resolution
• Manage control design and effectively challenge monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements
• Promote scalable, sustainable and flexible operational processes through effective controls
• Build and Manage interaction models with Partners and stakeholders across product, tech and other cross functional teams like Risk, Legal and Compliance
• Coordinate and perform risk assessment, monitoring and testing activities with first and second line to ensure the process remains current and compliant with Enterprise Standards
• Own the end to end Capital One Regulatory Operational processes including Know Your Customer (KYC), CRA, and Credit Bureau Processes.

Basic Qualifications

• Basic understanding of banking products and services
• At least 5 years of experience in Process, Operations or Risk management
• At least 5 years of people management, leading a diverse team of process and operations job families
• 2+ years of experience working in AML/KYC and/or Credit Bureau operational processes or similar regulatory environment
• Bachelor’s Degree in Business, Engineering, Commerce or Science
• At least 5 year experience working in a cross-functional environment, ensuring stakeholder expectations are managed effectively
• At least 5 years of experience with Continuous Improvement strategies and execution

Preferred Qualifications

• Familiarity with Capital One data environment and/or basic SQL knowledge
• Skilled knowledge of regulatory and compliance requirements
• Knowledge on AML/KYC operational process.
• Proficiency with Lean and/or Six Sigma tools and methodology
• 5 years of experience working in the Financial Industry

About Capital One Canada
We've been helping millions of Canadians for over 20 years by providing them with access to credit when others wouldn’t. We're on a journey to put our customers first, and keep them there, by building modern technology solutions to simplify and humanize the world of credit cards. We have the positive energy of a startup, with the advantages of a big company.
Capital One Canada is an equal opportunity employer committed to fostering a diverse and inclusive work environment. We consider all qualified applicants and will meet the needs of those requiring reasonable accommodations.
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 [email protected]. 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 [email protected]
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).
Job Category - Project/Process Management