Capital One Senior Legal Specialist – Securities and Executive Compensation in McLean, Virginia

McLean 1 (19050), United States of America, McLean, Virginia

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.

Senior Legal Specialist – Securities and Executive Compensation

The Role

The Securities and Executive Compensation group is a team within Capital One’s Legal Department that is comprised of a dynamic group of legal professionals who support Capital One’s SEC reporting and public disclosure, including ’34 Act filings, financial reporting and Investor Relations, as well as executive compensation, the annual stockholder meeting and proxy statement.Attorneys and other legal professionals within the Legal Department advise our diversified businesses on a broad range of business matters in a constantly changing and stimulating environment. In addition, through its bold initiatives, state of the art infrastructure, breadth of talent, and dynamic work environment, the Legal Department of Capital One has become one of the most highly admired corporate legal departments in the country.

The Senior Legal Specialist will be responsible for assisting with a variety of public disclosure and executive compensation matters.


The Senior Legal Specialist will be responsible for the following:

·Assisting with filings made with the SEC, compliance programs for Section 16 filings, trading plans, director and officer questionnaires, insider trading and other matters related to equity administration.

·Assisting with the development and filing of the annual proxy statement and ensuring compliance with controls and procedures applicable to the proxy and related disclosures.

·Managing the organization and planning of the annual meeting of stockholders.

·Overseeing third-party management requirements relating to certain vendors engaged by the Securities and Executive Compensation group.

·Supporting enhancement and implementation of effective processes to ensure compliance with policies and procedures relating to Legal Department activities.

The Person

Specific candidate competencies include, but are not limited to:

·Paralegal experience with an in-house legal department or law firm, with preference to a background in securities and/or corporate governance, designing, implementing and supporting processes and controls to ensure compliance with applicable policies, procedures and legal requirements relating to public disclosures, equity compensation and/or transactions.

·Familiarity with Securities and Exchange Commission filings including Section 16 filings and Securities Exchange Act filings.

·Strong organizational skills with impeccable attention to detail.

·Ability and willingness to work as a team player, with comfort interacting with associates across departments and job levels.

·Ability to work in a fast-paced environment with minimal supervision.

·Significant experience in managing complex processes and projects.

·Strong problem solving and decision making skills.

·Excellent analytical, oral and written communication skills.

·Ability to work cooperatively with internal constituents to manage efficient processes and to get issues resolved across organizational boundaries.

·The ability to manage multiple projects, take on new responsibilities and handle novel issues is critical.

Basic Qualifications:

·At least 2 years of experience in an in-house legal department or law firm.

·Experience in Microsoft Word, Excel, PowerPoint and Outlook.

Preferred Qualifications:

·At least 4-6 years of paralegal experience with an in-house legal department or law firm with focus on securities.

·Ability to build collegial and effective relationships with business leaders, attorneys, paralegals, and project managers at all levels of the company.

·Ability to prioritize and manage a significant volume of work on a broad array of topics with multiple and simultaneous deadlines.

·Strong communication skills with the ability to influence others.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.