Capital One · 5 days ago
Compliance Advisory Specialist III, Principal Associate
McLean, VA
Full-time
Onsite
Mid, Senior Level
$121K/yr - $138K/yr
4+ years expCapital One is seeking an experienced Principal Associate to be a Compliance Complaints Advisory Specialist. This role involves researching, analyzing, and providing regulatory guidance on high-risk customer complaints to support the Complaint Operations Team, while collaborating with various teams to ensure compliance and improve processes.
Financial Services
No H1B
Responsibilities
Maintain subject matter expertise of applicable laws and regulations for Retail Bank products and services across the lifecycle of an account
Partner with Legal for complaints that need Legal review for UDAAP/UDAP risks, as well as for any Legal risks identified
Consult and work closely with Compliance colleagues in Bank horizontal areas that require complaint reviews, e.g. Privacy, Fair Lending, AML
Document complaint regulatory assessments, consistent with policies and procedures
Work with Retail Bank complaints operations to review and resolve complaint questions and engage in meetings as needed
Provide ad-hoc training to first line teams on regulatory risk related to complaints and customer experience
Advise business and Compliance colleagues on known risks, events or activities that may generate complaints Support lines of business through expert advice, and elevate best practices
Request and analyze data; support and initiate efforts to improve data sourcing; and drive innovation with business partners and IT support teams
Identify trends in data and proactively advise on identified external and internal risks
Review Compliance tools to generate trending information, and escalate with subject matter experts, advisors, and the business when necessary
Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
Participate in reporting activities used by Senior Leadership
Demonstrate strong time management, organizational, and prioritization skills; complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
Exhibit strong problem-solving and conceptual thinking skills
Flexibility to travel to various Capital One locations as necessary
Qualification
Required
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
Maintain subject matter expertise of applicable laws and regulations for Retail Bank products and services across the lifecycle of an account
Partner with Legal for complaints that need Legal review for UDAAP/UDAP risks, as well as for any Legal risks identified
Consult and work closely with Compliance colleagues in Bank horizontal areas that require complaint reviews, e.g. Privacy, Fair Lending, AML
Document complaint regulatory assessments, consistent with policies and procedures
Work with Retail Bank complaints operations to review and resolve complaint questions and engage in meetings as needed
Provide ad-hoc training to first line teams on regulatory risk related to complaints and customer experience
Advise business and Compliance colleagues on known risks, events or activities that may generate complaints Support lines of business through expert advice, and elevate best practices
Request and analyze data; support and initiate efforts to improve data sourcing; and drive innovation with business partners and IT support teams
Identify trends in data and proactively advise on identified external and internal risks
Review Compliance tools to generate trending information, and escalate with subject matter experts, advisors, and the business when necessary
Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations
Participate in reporting activities used by Senior Leadership
Demonstrate strong time management, organizational, and prioritization skills; complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
Exhibit strong problem-solving and conceptual thinking skills
Flexibility to travel to various Capital One locations as necessary
A focus on results and achieving short- and long-term goals
A proven track record of supporting and working across groups and functions and with a senior management team
Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry
Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team
Highly developed interpersonal, presentation, and communications skills (written and oral)
Strategic influencing skills, with the ability to build understanding and agreement among diverse groups
Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues
An understanding of how banking technology performs, and how consumer laws and regulations apply to the utilization of technology and data in serving our customers
Strong project management, process management, and organizational skills
Ability to balance operating independently with appropriate escalation to and interaction with senior leadership
Existing familiarity or subject matter expertise in Regulation E and/or Americans with Disabilities Act
Preferred
Juris Doctor or Master's Degree
4+ years of experience in compliance, legal, risk management, or audit
CRCM (Certified Regulatory Compliance Manager) certification, Association of Certified Anti-Money Laundering Specialists (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification
Benefits
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.
Company
Capital One
Capital One is a financial services company that provides banking, credit card, auto loan, savings, and commercial banking services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$5.45BKey Investors
Berkshire Hathaway
2025-09-11Post Ipo Debt· $2.75B
2025-01-30Post Ipo Debt· $1.75B
2023-05-15Post Ipo Equity· $954M
Leadership Team
Lo Li
CTO, Managing Vice President Retail Bank
Daniel Arellano
Senior Vice President, Business Cards and Payments
Recent News
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