Capital One Principal Associate Compliance 

United States, Virginia, Richmond 

421441628

Principal Associate, Compliance

Responsibilities:

The Advisor will have an understanding of third-party compliance risks and controls and leverage their knowledge to:

• Advise lines of business, Third-Party Managers, and Contract Managers on compliance risks and controls across the third party lifecycle

• Perform pre-contract third party due diligence assessments

• Perform quality assurance reviews on TPC program processes

• Partner with Enterprise Supplier Management and Third Party Risk Management to mature third party compliance controls, monitoring actions, and risk identification questions

• Lead and support Third Party Compliance projects as needed, including Audit and Exam requests, third-party compliance training process improvements, and the development of a third-party compliance toolkit

• Identify and implement improvements to existing Third Party Compliance processes

The preferred skill set for this role includes:

• Collaboration and project management skills that influence and drive projects and results with cross-functional stakeholders

• Experience with the laws and regulations that are applicable to the third-party services and products used by Capital One

• Knowledge of or ability to quickly learn how to access third-party data in source systems

• An understanding of Capital One’s Lines of Defense structure

• Knowledge of testing program structures and methodologies

• Demonstrated creative problem solving ability

• Experience with inherent risk, control effectiveness, and residual risk methodologies

Basic Qualifications:

• High School Diploma, GED, or equivalent certification

• At least 3 years of experience in Compliance, Third-Party Management, or Risk Management

Preferred Qualifications:

• Bachelor’s Degree

• CRCM certification or IAPP certification

• 1+ year of experience with Salesforce

• 1+ year of experience with Google Suite

• A basic understanding of Governance, Risk, and Compliance software tools

• Experience in Controls Development, Controls Management, and Reporting activities

• Experience in a third party risk and compliance program at a financial institution

• Experience with Process Management or Project Management

McLean, VA: $117,300 - $133,900 for Compliance Advisory Specialist III Richmond, VA: $106,700 - $121,700 for Compliance Advisory Specialist IIIThis 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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 . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.