Principal Associate Investigator – Office of Corporate Investigations (OCI)

Center 2 (19050), United States of America, McLean, VirginiaPrincipal Associate Investigator – Office of Corporate Investigations (OCI)

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 Investigator in Compliance & Ethics, Office of Corporate Investigations, you will be responsible for conducting comprehensive investigations of alleged internal fraud and unethical business practices. Key priorities for this position include conducting fact-based investigations in a thoughtful and timely manner, meeting regulatory compliance filing deadlines, and providing and escalating detailed information to management and partners to make important disciplinary, operational, and compliance decisions. 

Specifically, your responsibilities will include:

• Conducting complex investigations of alleged unlawful or unethical activity and violations of company policies in an efficient, thorough, and professional manner

• Prioritizing multiple investigative tasks and responsibilities in a fast-paced environment, while maintaining positive collaborative relations with various partners

• Preparing and implementing investigation plans

• Writing detailed, objective, fact-based reports and maintaining well-organized and accurate case files

• Conducting professional investigative interviews of associates and contractors, often involving sensitive subjects

• Maintaining strict confidentiality

• Identifying potential process or control gaps that may require remediation, or that may be indicative of more systemic breakdowns, trends, or emerging risks when considered in conjunction with other available information and investigative findings 

• Building and maintaining effective working relationships with OCI’s investigative partners and stakeholders in the impacted lines of business

Candidate Profile:

The ideal candidate is a critical thinker and active listener, exercises good judgment, has excellent written and oral communication and organizational skills, and serves as a collaborative team member; familiarity with and experience in the financial services industry and regulatory environment as well as conducting internal investigations is valued. Candidates must be self-motivated, demonstrate flexibility in responding to changes in assignments and job responsibilities, and have the ability to maintain positive working relationships with business partners across the company. Finally, candidates must be able to comply with all organizational and professional ethical standards.

Basic Qualifications: 

• At least 4 years of experience conducting complex internal investigations involving financial crimes or regulatory violations.

• Bachelor’s degree or military experience

Preferred Qualifications: 

• At least 5 years of experience conducting complex internal investigations involving financial crimes or regulatory violations.

• Relevant advanced degree such as MBA or JD 

• WZ Certification in Interviewing Methods or equivalent

• Certified Fraud Examiner (CFE), or Certified Anti-Money Laundering Specialists (CAMS), or Certified Financial Crimes Investigator (CFCI), Certified Public Accountant (CPA) and/or other relevant certification(s) or industry-related association membership

• Experience preparing Suspicious Activity Reports (SARs)

• Experience with and knowledge of the financial services regulatory environment

• Demonstrated experience in roles requiring superior critical thinking and active listening skills

• Demonstrated experience in fast-paced, nuanced environments

• Demonstrated experience conducting witness and subject interviews

• Exceptional communication, interpersonal, organization, and writing skills 

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.

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, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, 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.

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]

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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).