Compliance Advisory Specialist III, Principal Associate
Capital One
full-time
Posted on:
Location Type: Hybrid
Location: McLean • Virginia • United States
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Salary
💰 $109,900 - $137,900 per year
About the role
- Research, analyze, and offer regulatory guidance on high-risk customer complaints
- Maintain subject matter expertise of applicable laws and regulations for Retail Bank products and services
- Partner with Legal for complaints needing Legal review for UDAAP/UDAP risks
- Consult and work closely with Compliance colleagues in Bank horizontal areas for complaint reviews
- Document complaint regulatory assessments, consistent with policies and procedures
- Work with Retail Bank complaints operations to review and resolve complaint questions
- Provide ad-hoc training to first line teams on regulatory risk related to complaints
- Advise business and Compliance colleagues on known risks that may generate complaints
- Support lines of business through expert advice and elevate best practices
- Request and analyze data and support efforts to improve data sourcing
- Identify trends in data and advise on identified external and internal risks
Requirements
- 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 in the financial services industry
- At least 1 year of experience supporting, partnering, and interacting with business clients
- Existing familiarity or subject matter expertise in Regulation E and/or Americans with Disabilities Act
Benefits
- Comprehensive, competitive, and inclusive health, financial and other benefits that support your total well-being
- Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory guidancecomplaint regulatory assessmentsdata analysisrisk managementcomplianceauditRegulation EAmericans with Disabilities Act
Soft skills
consultationcollaborationtrainingadvisingproblem-solving
Certifications
Bachelor’s Degree