Capital One Compliance Advisory Specialist III Principal Associate 

United States, Virginia, Richmond 

332852533

Compliance Advisory Specialist III, Principal Associate

Responsibilities

• Maintain subject matter expertise of applicable laws and regulations for consumer banking products and services across the lifecycle of an account

• Partner with Legal attorneys for complaints that need Legal review for UDAAP/UDAP risks, as well as for any Legal risks identified

• Consult and work closely with Compliance colleagues in Bank horizontal areas that require complaint reviews, e.g. Privacy, Fair Lending, Anti-Money Laundering

• Document complaint regulatory assessments, consistent with policies and procedures

• Work with Retail Bank complaints operations to review and resolve complaint questions and engage in meetings as needed

• Provide ad-hoc training to first line teams on regulatory risk related to complaints and customer experience

• Advise business and Compliance colleagues on known risks, events or activities that may generate complaints Support lines of business through expert advice, and elevate best practices

• Request and analyze data; support and initiate efforts to improve data sourcing; and drive innovation with business partners and IT support teams

• Identify trends in data and proactively advise on identified external and internal risks

• Review Compliance tools to generate trending information, and escalate with subject matter experts, advisors, and the business when necessary

• Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards

• Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations

• Participate in reporting activities used by Senior Leadership

• Demonstrate strong time management, organizational, and prioritization skills; complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

• Exhibit strong problem-solving and conceptual thinking skills

• Flexibility to travel to various Capital One locations as necessary

The ideal candidate will possess:

• A focus on results and achieving short and long-term goals

• A proven track record of supporting and working across groups and functions and with leadership

• Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry

• Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team

• Highly developed interpersonal, presentation, and communications skills (written and oral)

• Strategic influencing skills, with the ability to build understanding and agreement among diverse groups

• Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues

• An understanding of how banking technology performs, and how consumer laws and regulations apply to the utilization of technology and data in serving our customers

• Strong project management, process management, and organizational skills

• Ability to balance operating independently with appropriate escalation to and interaction with senior leadership

Basic Qualifications:

• Bachelor’s Degree or military experience

• At least 3 years of experience in compliance, legal, risk management, or audit

• At least 2 years of experience supporting, partnering, and interacting with business clients

• At least 3 years of experience in the financial services industry

Preferred Qualifications:

• Juris Doctor or Master’s Degree

• 4+ years of experience in compliance, legal, risk management, or audit

• CRCM (Certified Regulatory Compliance Manager) certification,Association of Certified Anti-Money Laundering Specialists (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification

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.