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Compliance Principal Associate

at Capital One Services II, LLC in Wilmington, Delaware, United States

Job Description

Job ID: R126062

 

West Creek 3 (12073), United States of America, Richmond, Virginia

 

Compliance Principal Associate

 

The US Card Compliance Principal Associate performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Principal Associate will be responsible for executing complex risk-based compliance transaction reviews for the purpose of independently validating business line adherence to applicable laws and regulations including, but not limited to: FCRA, SCRA, MLA, UDAAP, Regulation B, and Regulation Z requirements.

 

As a Compliance Principal Associate, you will design and execute compliance reviews based on the line of business, the regulatory risks that business faces, and internal control processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent monitoring for the lines of business against Capital One's risk management framework.

 

Responsibilities will include, but may not be limited to:

 

Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards

 

Develop and execute assessment plans, continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas

 

Obtain and analyze data, supporting and initiating efforts to improve data sourcing and innovation with business partners and IT support teams

 

Manage to schedules to ensure all results are completed within established timeframes and documented within systems of record

 

Review deliverables executed by peers for accuracy and adherence to procedures

 

Establish and maintain strong relationships with Compliance Advisors and Business Areas

 

Support Compliance audit and exams as needed

 

Demonstrate strong problem-solving and conceptual skills

 

Demonstrate strong written and verbal communication skills

 

Exercise professional skepticism and judgement

 

Basic Qualifications:

 

High School Diploma, GED or equivalent certification

 

At least 2 years of experience in audit, or compliance, or risk management, or control, or transaction reviews

 

Preferred Qualifications:

 

Bachelor's Degreeor Military Experience

 

Proficiency with Google G-Suite

 

4 years of financial services consumer compliance monitoring, or auditing, or risk management, or compliance experience

 

Certified Regulatory Compliance Manager (CRCM) accreditation

 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

 

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

 

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

 

For... For full info follow application link.

 

Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace. 

 

All qualified applicants will receive consideration for employment without regard to gender, race, color, religion, national origin, sexual orientation, protected veteran status, or disability status.

 

Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; Newark, New Jersey Ordinance 12-1630; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries. 

 

 

 

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Job Posting: 878109

Posted On: Nov 28, 2021

Updated On: Dec 28, 2021