173 jobs for "Regulatory and Compliance - Associate"

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At Capital One - New York · Richmond

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At Capital One - Plano

Posted on Sep 18

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Principal Associate, SEC Reporting

At Capital One - McLean · Richmond

Posted on Sep 18

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Principal Associate, Risk Advisor (Auto)

At Capital One - Plano

Posted on Sep 12

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Principal Associate, Operational Risk Management, Third Party Risk Manager (TPRM)

At Capital One - Richmond · McLean

Posted on Sep 4

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Senior Manager, Senior Counsel - Enterprise Data and Cyber

At Capital One - McLean · New York

Posted on Sep 3

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Director, Product Management - Anti Money Laundering

At Capital One - Richmond · McLean

Posted on Aug 28

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Compliance Tester III

At Capital One - Richmond · McLean

Posted on Oct 10

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Principal Associate, Accounting

At Capital One - Richmond · McLean

Posted on Jul 10

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Capital One

Principal Associate, SEC Reporting

McLean, VA · Richmond, VA · Wilmington, DE$120,800 – $137,900Posted Sep 18, 2026

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Why you should apply for a job to Capital One:

Ranked as one of the Best Finance Companies in 2024
4.1/5 in overall job satisfaction
3.0/5 in supportive management
76% say women are treated fairly and equally to men
84% would recommend this company to other women
78% say the CEO supports gender diversity

Ratings are based on anonymous reviews by Fairygodboss members. See all reviews ›

Principal Associate, SEC Reporting

We are seeking a highly motivated professional that is interested in working in a collaborative and dynamic financial services company to join our Securities and Exchange Commission (SEC) Reporting team. This Principal Associate will be foundational to the Controllers organization's legal entity management, driving clarity, consistency, and
risk-based oversight across our legal entity landscape. We are looking for a curious-minded individual that enjoys working with data and collaborating across multiple teams in order to reach company-wide
and organizational-wide goals.

Responsibilities:
• Drive the establishment of a centralized oversight function of legal entity reporting
• Perform risk assessments to identify entities in scope
• Coordinate the legal entity storytelling function, including extracting, analyzing, and validating data from Onestream to provide leadership with drivers of legal entity results
• Act as a central liaison across cross-functional partners to ensure legal entity data remains accurate, consistent, and compliant with evolving regulatory and governance requirements
• Drive process improvements and support implementation of automation efforts
• Support quarterly Earnings and reporting cycle as necessary
• Support control processes and engage with audit and compliance groups as necessary
• Support ad-hoc research projects, peer analysis, and disclosure update proposals
• Support broader enterprise initiatives including building out materials and/or processes to support potential acquisitions/expansion/divestitures

Ideal candidate should possess
• Strong written and verbal communication skills
• Strong analytical and problem-solving skills
• Ability to multitask and prioritize effectively
• Ability to produce high quality materials within tight timeframes
• Experience with financial and/or accounting reporting systems

Basic Qualifications
• Bachelor's degree or military experience
• At least 3 years of experience in Accounting, Finance, Audit, or combination of

Preferred Qualifications
• Bachelor's degree in Accounting, Finance or Business
• Certified Public Accountant (CPA)
• 1+ year of Securities and Exchange Commission (SEC) reporting experience
• 1+ year of financial analysis experience
• 1+ year of financial and accounting reporting systems experience (Workiva or OneStream reporting systems experience a plus)
• 1+ year of financial institution experience

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

McLean, VA: $120,800 - $137,900 for Principal Associate, Accounting

Richmond, VA: $109,900 - $125,400 for Principal Associate, Accounting

Wilmington, DE: $109,900 - $125,400 for Principal Associate, Accounting

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

This 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.

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 (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com

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).

About Capital One

Capital One is a nationally recognized and high-tech business banking company, offering better customized consumer and commercial lending and deposit financial services.

Size: 10,000+ employees
Industry: Finance: Diversified

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