Principal Associate, Compliance Specialist

Overview

Capital One, a Fortune 500 company and one of the nation’s top 10 banks, offers a broad spectrum of financial products and services to consumers, small businesses, and commercial clients. We nurture a work environment where people with a variety of thoughts, ideas, and backgrounds, guided by our shared values, come together to make Capital One a great company – and a great place to work.

As a Principal Associate Conflict of Interest (COI) Specialist in the Ethics Office, you will be responsible for administering and managing the Company’s Gifts and Entertainment and Conflict of Interest Programs. This role will review and disposition employee disclosures related to gifts and entertainment, review and resolve associates’ participation in outside activities such as board positions and secondary employment, and review certain personal financial investments and other potential business conflicts.

The role will manage pre-clearance procedures and ensure compliance with internal policies and regulatory standards.

• Managing the pre-approval process for gifts and entertainment and making well-reasoned determinations as to whether approval requests should be approved, approved with a mitigations strategy, or declined.
• Conducting comprehensive COI analyses involving associate disclosures related to outside activities, including Board positions, secondary employment, and personal financial investments, from current employees and job candidates and dispositioning the same.
• Conducting preliminary assessments during intake to triage and assign matters based on risk, severity and policy applicability; escalating high-risk or sensitive cases in accordance with established protocols; and resolving low-risk cases in accordance with established standards.
• Monitoring intake trends and metrics to identify emerging risks and support continuous improvement of ethics and compliance processes.
• Providing oral and written briefings for senior leadership, up to and including the Chief Ethics Officer, that are thoughtful, thorough, and concise.
• Supporting the development of Enterprise-wide certifications to promote disclosure of gifts and entertainment and potential conflicts of interest, as well as programs to monitor adherence to conditions designed to mitigate conflicts.
• Implementing case management best practices and technological solutions to gain efficiencies and scale the applicable programs.
• Establishing and maintaining strong working relationships with key partners across Compliance, Legal, Human Resources, Risk Management, and within the lines of business.
• Supporting the development and presentation of key metrics for Ethics Program reporting.
• Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.

The ideal candidate is an experienced legal, ethics, or compliance professional who works collaboratively as part of a team, is an active listener and critical thinker, possesses excellent written and oral communication skills, and has experience spotting and analyzing issues and proactively identifying thoughtful, well-reasoned solutions. This individual is self-motivated, flexible in responding to changes in assignments and job responsibilities, and maintains positive working relationships with business partners.

Finally, this individual must be dedicated to complying with all organizational and professional ethical standards.

• 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
• 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…