Principal Associate, Compliance Specialist

Overview

Principal Associate, Compliance Specialist

Capital One, a Fortune 500 company and one of the nation’s top 10 banks, offers a broad spectrum of financial products and services to consumers, small businesses, and commercial clients. We nurture a work environment where people with a variety of thoughts, ideas, and backgrounds, guided by our shared values, come together to make Capital One a great company – and a great place to work.

As a Principal Associate Conflict of Interest (COI) Specialist in the Ethics Office, you will be responsible for administering and managing the Company’s Gifts and Entertainment and Conflict of Interest Programs. This role will be responsible for reviewing and dispositioning employee disclosures related to gifts and entertainment. The role will also review and resolve associates’ participation in certain outside activities, such as board positions and secondary employment, as well as certain personal financial investments and other potential business conflicts. Finally, the role will manage pre-clearance procedures and ensure and confirm compliance with internal policies and regulatory standards.

Specific Responsibilities include:

• Managing the pre-approval process for gifts and entertainment and making well-reasoned determinations as to whether approval requests should be approved, approved with a mitigations strategy, or declined;

• Conducting comprehensive and complex COI analyses involving associate disclosures related to outside activities, including certain Board positions, secondary employment, and personal financial investments, from current employees and job candidates and dispositioning the same;

• Conducting preliminary assessments during intake to triage and assign matters based on risk, severity and policy applicability; escalating high-risk or sensitive cases in accordance with established protocols; and resolving low-risk cases in accordance with established standards;

• Monitoring intake trends and metrics to identify emerging risks and support continuous improvement of ethics and compliance processes;

• Providing oral and written briefings for senior leadership, up to and including the Chief Ethics Officer, that are thoughtful, thorough, and concise;

• Supporting the development of Enterprise-wide certifications to promote disclosure of gifts and entertainment and potential conflicts of interest, as well as programs to monitor adherence to conditions designed to mitigate conflicts;

• Implementing case management best practices and technological solutions to gain efficiencies and scale the applicable programs;

• Establishing and maintaining strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management, as well as within the lines of business;

• Supporting the development and presentation of key metrics for Ethics Program reporting; and

• Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.

Candidate Profile:

The ideal candidate is an experienced legal, ethics, or compliance professional, who works collaboratively as part of a team, is an active listener and critical thinker, possesses excellent written and oral communication skills, and has experience spotting and analyzing issues, and can proactively identify thoughtful well-reasoned solutions. This individual is self-motivated, flexible in responding to changes in assignments and job responsibilities, and maintains positive working relationships with business partners. Finally, this individual must be dedicated to complying with all organizational and professional ethical standards.

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 4 years of experience in Corporate or government Ethics, Government Regulatory Enforcement, Legal, Risk Management, or Compliance programs

Preferred Qualifications:

• Juris Doctorate

• 3+ years of experience working in financial services;

• 1+ years of experience analyzing conflicts of interest and gifts and entertainment;

• Experience with ethics and compliance initiatives such as fostering an ethical culture and external benchmarking;

• Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives;

• Experience with Ethics programming and helplines or other investigation case management systems;

• Certified Compliance and Ethics Professional (CCEP).

• Experience with program management, change management, or maintenance of program governance documents;

• Proficiency in the Google Suite - Google Docs, Slides, Sheets, Keep or Microsoft equivalent

• Excellent written and verbal communication skills.

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.

McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III

Richmond, VA: $109,900 - $125,400 for Compliance Advisory Specialist III

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 the Capital 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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 [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).