Compliance Advisory Specialist II

Compliance Advisory Specialist II 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 Senior Associate Conflict of Interest (COI) Specialist in the Ethics Office, you will be responsible for contributing to the administering of the Company’s Ethics Line, and Gifts & Entertainment and Conflict of Interest disclosure programs. This role will be responsible for helping to manage, handle, and enhance workflows and technology systems and tools used to evaluate and disposition Ethics Line complaints and employee disclosures related to gifts & entertainment and conflicts of interest.

The role will include reviewing and resolving hiring candidates and associates’ participation in certain outside activities, such as board positions and secondary employment, as well as certain personal financial investments and other potential relationship conflicts.

• Conducting assessments during intake of Ethics Line and associate disclosures 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
• Conducting COI analyses involving associate disclosures related to relationships, outside activities, including certain Board positions, secondary employment, and personal financial investments, from current employees and job candidates and dispositioning the same
• Handling the pre-approval process for gifts and entertainment disclosures and making well-reasoned determinations as to whether approval requests should be approved, approved with a mitigations strategy, or declined
• Monitoring intake trends and metrics to identify emerging risks and support continuous improvement of ethics and compliance processes
• Managing and enhancing technology systems and tools and analyzing business workflows to maximize use of technology to improve the efficiency and effectiveness of Ethics Office programs
• 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, and Risk Management, as well as within the lines of business
• Supporting the development and presentation of key metrics for Ethics Program reporting
• Effectively communicating with stakeholders, key partners, and Corporate Integrity colleagues and senior leaders concerning the work of the Ethics Office
• Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with team members and various partners

The ideal candidate is a tech savvy, diligent and dedicated professional with experience in ethics and compliance, who works collaboratively as part of a team, enjoys learning new systems and has a growth mindset, is an active listener and critical thinker, possesses excellent written and oral communication skills, and can proactively identify 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.