Head of Regulatory Legal

at  Capital One UK

WHAT YOU SHOULD KNOW ABOUT HOW WE RECRUIT

We pride ourselves on hiring the best people, not the same people. Building diverse and inclusive teams is the right thing to do and the smart thing to do. We want to work with top talent: whoever you are, whatever you look like, wherever you come from. We know it’s about what you do, not just what you say. That’s why we make our recruitment process fair and accessible. And we offer benefits that attract people at all ages and stages.

We also partner with organisations including the Women in Finance and Race At Work Charters, Stonewall and upReach to find people from every walk of life and help them thrive with us. We have a whole host of internal networks and support groups you could be involved in, to name a few:

• REACH – Race Equality and Culture Heritage group focuses on representation, retention and engagement for associates from minority ethnic groups and allies
• OutFront – to provide LGBTQ+ support for all associates
• Mind Your Mind – signposting support and promoting positive mental wellbeing for all
• Women in Tech – promoting an inclusive environment in tech
• EmpowHER - network of female associates and allies focusing on developing future leaders, particularly for female talent in our industry

Capital One is committed to diversity in the workplace.
If you require a reasonable adjustment, please contact ukrecruitment@capitalone.com All information will be kept confidential and will only be used for the purpose of applying a reasonable adjustment.
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).
Who We Are
At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, 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 and that teamwork and respect for each other lead to superior results. 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

ABOUT THE ROLE

As Head of Regulatory Legal in the UK, you’ll lead a team responsible for supporting the business to meet its obligations across financial services and data protection. This will include: providing regulatory advice to COEP’s business in relation to FCA requirements, overseeing the Data Protection Office, managing regulatory interactions with key UK and US regulators, and having oversight of the legal team’s documentation of COEP’s legal and regulatory obligations.

WHAT YOU’LL DO

• Leading the UK Regulatory Legal team. You will report directly to Head of Legal, within COEP’s Legal, Governance, and External Affairs function
• Becoming an active member of the Legal, Governance and External Affairs leadership team
• Developing and maintaining strong relationships with the business, understanding its objectives, priorities, products and the market in which it operates
• Developing and maintaining a strong internal (both UK and US) and external network, including with key contacts at regulators
• Managing key interactions with regulators, including supporting before and during examinations
• Leading and developing a team of lawyers and legal specialists, which delivers advice and support to the business across non-customer facing financial services regulatory requirements, including:
• Senior Manager and Certification Regime - Managing COEP’s approach to SMCR, including advising on COEP’s overall approach, mapping of responsibilities, making the appropriate applications to the FCA and ensuring Senior Managers and Certified Staff and Conduct Rules receive appropriate training and support to discharge their obligations;
• Data Protection governance - Overseeing the governance and oversight activities of the Data Protection Office and being a point of escalation for complex Data Protection questions and issues
• Operational Resilience - Supporting the business to meet the FCA’s expectations and maintain operational resilience
• Providing leadership and oversight across the Legal team’s responsibilities to: (i) undertake horizon scanning for changes to the legal or regulatory landscape; and (ii) the documentation of all relevant legal and regulatory requirements on behalf of the business, partnering closely with Compliance
• Overseeing the relationship with external counsel engaged on any relevant matters