Principal Compliance Advisor

Capital One

4.1

(153)

Richmond, VA

Why you should apply for a job to Capital One:

  • 4.1/5 in overall job satisfaction
  • 75% say women are treated fairly and equally to men
  • 86% would recommend this company to other women
  • 77% say the CEO supports gender diversity
  • Ratings are based on anonymous reviews by Fairygodboss members.
  • "Working Mother" 100 Best Companies 2020
  • Associates can take 18 weeks for Maternity Leave, and 8 weeks for Paternity Leave, Adoption/Foster Care Leave, and Birth via a Surrogate.
  • The Back-Up Child Care Advantage Program and the Back-Up Family Care Advantage Program provide alternative care options.
  • #R182804

    Position summary

    ance advisory responsibilities for the Enterprise Services business units (including Technology, Enterprise Product and Experiences, Global Workplace Solutions and External Affairs) and serve as key partner with the Enterprise Services Risk Office. This role will support and perform compliance risk assessments; the identification of regulatory requirements and risks associated with business processes and initiatives; data analysis and reporting to support compliance risk assessments or the proactive identification of potential areas of risk; serve as a liaison or directly support Enterprise Services/Enterprise wide initiatives or processes. The Principal Compliance Advisor will engage with multiple areas within Enterprise Services, Compliance and Ethics and the extended Enterprise Services, Privacy and TPM Compliance team.

    Additional responsibilities include:

    • Provide Compliance advisory support for one or more ES business units

    • Serve a liaison with business risk office to understand initiatives that may impact Compliance Advisory

    • Conduct review of new/changed laws and regs to determine applicability to business processes

    • Serve as ES Compliance representative at various forums to determine impacts and areas of engagement for the team

    • Manage the centralized ES compliance risk inventory that is used in support of new product, marketing and initiative risk assessments

    • Facilitate the creation, review or update of Compliance specific training

    • Develop draft documents for the team to leverage with client groups.

    • Facilitate the consolidation of feedback and review data packs in support of risk identification processes

    • Facilitate the review of the team JIRA board in team stand-ups to highlight upcoming deliverables, flagging upcoming/past due activities as well as maintaining for own deliverables

    • Synthesize data from various reports (i.e Advisory Trending, Issue/Event dashboard, Tech Risk Dashboard)

    • Develop and manage the intake process to support business requests for engagement of Compliance Advisory staff

    • Partner with other compliance governance teams in support of management reporting, risk assessments, requests and initiatives

    Ideal Candidate will have:

    • The desire and aptitude to think innovatively and proven track record for delivering results

    • A successful track record of thriving in a fast paced, entrepreneurial and dynamic environment

    • The proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organization

    • High energy and a desire to work in a results-oriented, rapid growth environment

    • The ability to analyze, evaluate, develop and effectuate solutions to complex problems

    • Team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills

    BASIC QUALIFICATIONS

    • Bachelor's Degree or military experience

    • At least 2 years of experience in Audit, Risk Management, Legal, Compliance or related function

    PREFERRED QUALIFICATIONS :

    • At least 3 years of experience working within a technical, FinTech or highly regulated industry

    • At least 3 years of experience in an Audit, Risk Management, Legal, Compliance or related function

    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.

    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).

    Why you should apply for a job to Capital One:

  • 4.1/5 in overall job satisfaction
  • 75% say women are treated fairly and equally to men
  • 86% would recommend this company to other women
  • 77% say the CEO supports gender diversity
  • Ratings are based on anonymous reviews by Fairygodboss members.
  • "Working Mother" 100 Best Companies 2020
  • Associates can take 18 weeks for Maternity Leave, and 8 weeks for Paternity Leave, Adoption/Foster Care Leave, and Birth via a Surrogate.
  • The Back-Up Child Care Advantage Program and the Back-Up Family Care Advantage Program provide alternative care options.