Principal Associate, Compliance Governance Risk Specialist

with the Compliance Testing Innovation & Governance lead, bringing quantitative, data and analytical skills to bear in governance of compliance testing.

• They will manage the compliance testing practices, including executing annual planning & calendaring, maintaining strong governance for the Reveal workpaper platform and templates for all Compliance testing types.

• They will also implement strong governance for innovative solutions related to the workpaper platform, including governance for incorporating advanced technology in testing to enhance and complement human testing capabilities (e.g. code that evaluates a full population, machine learning, or artificial intelligence).

• They will implement enhancements to the existing portfolio of dashboards, visualization tools and reports, as well as drive standardization of data management and troubleshooting when issues arise.

• They will identify opportunities to package compliance testing data into formats that are intuitive to use and that bring valuable insights for stakeholders.

The ideal candidate has an understanding of audit or testing methodology, coupled with an aptitude for tools/systems, technology, and a passion for process excellence. The ideal candidate will have an interest in learning about artificial intelligence governance frameworks. This role requires highly motivated Risk Management professionals with excellent organizational and communication skills.

General Responsibilities:

• Create and execute well-managed testing and data governance solutions, tools, templates and protocols that equip Compliance testers to effectively and efficiently perform calendaring, planning, and testing

• Partner with colleagues to continually assess and enhance the workpaper documentation platform, testing workbooks, job aids, dashboards and reports to incorporate user feedback and align to strategic shifts in methodology; serve as a liaison to local governance and enterprise testing teams

• Partner with the Analytics & Innovation and Product teams and engage in design, piloting, testing and refinement of relevant new and enhanced initiatives that support testing activities

• Research, design, and implement governance processes for innovative practices related to strategic and product initiatives that support testing

• Perform quality assurance of completed documentation, coverage reporting, and testing; validate remediation

• Create and send stakeholder surveys; aggregate results; recommend and implement process excellence opportunities for improvement

• Suggest opportunities and act on requests to design and develop tools, techniques, metrics and dashboards for insights and data visualization

• Prepare metrics, deliverables and decks to demonstrate strong governance

• Play an active role in the process excellence journey, enhancing existing risk diagnostics and rolling out new line of business (LOB) aligned reporting of assessment outcomes

• Contribute to Compliance exams, audits and strategic initiatives

• Assist in building requirements and applying product features to improve reporting, streamline and automate testing & other Compliance Governance related activities

Basic Qualifications:

• GED, High school diploma, or equivalent certification

• At least 2 years experience in compliance, audit, risk management

• At least 2 years of experience in data analysis, or data management, or data quality assurance

• At least 2 years of Google Suite experience (Studio, Drive, Slides, Docs, Sheets and Analytics)

• At least 2 years of experience performing v-lookups, sheets or excel formulas such as query and importrange, data extraction and manipulation

Preferred Qualifications:

• Bachelor's Degree

• At least 3 years of experience in a risk or compliance role within Financial Services, Technology, Consulting, Legal or Audit

• At least 1 year of experience with audit or testing background

• At least 1 year of experience using a business intelligence visualization tool (Tableau, Looker Studio)

• At least 1 year of experience with stakeholder communications or email tools

• Ability to manage and prioritize multiple tasks daily

• Ability to work independently and in a team structure with a diverse group of individuals

• Proactivity; track record of anticipating and suggesting solutions to problems

• Strong verbal and written communication skills

• Strong interpersonal and relationship-building skills, with a positive and collegial attitude

• Demonstrated ability to explore and quickly grasp new technologies and tools as well as internal systems

• Artificial intelligence governance professional certification or willingness to pass the certification

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

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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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.

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