Principal Associate, Compliance Specialist
Capital One
full-time
Posted on:
Location Type: Office
Location: McLean • Virginia • United States
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Salary
💰 $120,800 - $137,900 per year
About the role
- Administer and manage the Company’s Gifts and Entertainment and Conflict of Interest Programs
- Review and disposition employee disclosures related to gifts and entertainment
- Review and resolve associates’ participation in certain outside activities, such as board positions and secondary employment, as well as certain personal financial investments and other potential business conflicts
- Manage pre-clearance procedures and ensure and confirm compliance with internal policies and regulatory standards
- Conduct comprehensive and complex COI analyses involving associate disclosures related to outside activities, including certain Board positions, secondary employment, and personal financial investments
- Monitor intake trends and metrics to identify emerging risks
- Provide oral and written briefings for senior leadership, up to and including the Chief Ethics Officer
- Establish and maintain strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management
- Prioritize among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.
Requirements
- Bachelor’s Degree or military experience
- At least 4 years of experience in Corporate or government Ethics, Government Regulatory Enforcement, Legal, Risk Management, or Compliance programs
- Juris Doctorate preferred
- 3+ years of experience working in financial services; 1+ years of experience analyzing conflicts of interest and gifts and entertainment
- Experience with ethics and compliance initiatives such as fostering an ethical culture and external benchmarking
- Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives
- Experience with Ethics programming and helplines or other investigation case management systems
- Certified Compliance and Ethics Professional (CCEP) preferred.
- Experience with program management, change management, or maintenance of program governance documents
- Proficiency in the Google Suite - Google Docs, Slides, Sheets, Keep or Microsoft equivalent
- Excellent written and verbal communication skills.
Benefits
- Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).
- Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
conflict of interest analysiscompliance program managementdata analysisethics programminginvestigation case managementregulatory compliancerisk managementprocess measurementprogram governancefinancial services experience
Soft Skills
communication skillscollaborationprioritizationrelationship managementanalytical thinkingproblem-solvingleadershipadaptabilityorganizational skillspresentation skills
Certifications
Certified Compliance and Ethics Professional (CCEP)Juris DoctorateBachelor's Degreemilitary experience