West Creek 3 (12073), United States of America, Richmond, VirginiaPrincipal Compliance Advisor Capital One's digital transformation and growth presents an exciting opportunity to provide leading edge, innovative approaches to compliance risk management. Capital One is increasingly using technology to further its most dynamic, innovative products, which includes providing these products and services to both internal lines of business and external customers. This calls for innovative ways for us to think about compliance and risk in a way that helps the business succeed, safely and swiftly.Key Responsibilities of this role: The Principal Compliance Advisor will be up for the challenge of supporting the Enterprise Services (ES) Compliance Advisory team in managing critical components of our Compliance Management Program (CMP). This associate will support various compliance advisory responsibilities for the Enterprise Services business units (including Technology, Enterprise Product and Experiences, Global Workplace Solutions and External Affairs) and serve as key partner with the Enterprise Services Risk Office. This role will support and perform compliance risk assessments; the identification of regulatory requirements and risks associated with business processes and initiatives; data analysis and reporting to support compliance risk assessments or the proactive identification of potential areas of risk; serve as a liaison or directly support Enterprise Services/Enterprise wide initiatives or processes.The Principal Compliance Advisor will engage with multiple areas within Enterprise Services, Compliance and Ethics and the extended Enterprise Services, Privacy and TPM Compliance team.Additional responsibilities include:Provide Compliance advisory support for one or more ES business unitsServe a liaison with business risk office to understand initiatives that may impact Compliance AdvisoryConduct review of new/changed laws and regs to determine applicability to business processesServe as ES Compliance representative at various forums to determine impacts and areas of engagement for the teamManage the centralized ES compliance risk inventory that is used in support of new product, marketing and initiative risk assessmentsFacilitate the creation, review or update of Compliance specific trainingDevelop draft documents for the team to leverage with client groups.Facilitate the consolidation of feedback and review data packs in support of risk identification processesFacilitate the review of the team JIRA board in team stand-ups to highlight upcoming deliverables, flagging upcoming/past due activities as well as maintaining for own deliverablesSynthesize data from various reports (i.e Advisory Trending, Issue/Event dashboard, Tech Risk Dashboard)Develop and manage the intake process to support business requests for engagement of Compliance Advisory staffPartner with other compliance governance teams in support of management reporting, risk assessments, requests and initiativesIdeal Candidate will have:The desire and aptitude to think innovatively and proven track record for delivering resultsA successful track record of thriving in a fast paced, entrepreneurial and dynamic environmentThe proven ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels in a highly matrix organizationHigh energy and a desire to work in a results-oriented, rapid growth environmentThe ability to analyze, evaluate, develop and effectuate solutions to complex problemsTeam player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skillsBASIC QUALIFICATIONSBachelor's Degree or military experienceAt least 2 years of experience in Audit, Risk Management, Legal, Compliance or related functionPREFERRED QUALIFICATIONS :At least 3 years of experience working within a technical, FinTech or highly regulated industryAt least 3 years of experience in an Audit, Risk Management, Legal, Compliance or related functionCapital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.This role is expected to accept applications for a minimum of 5 business days.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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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 technical support or questions about Capital One's recruiting process, please send an email toCapital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).#J-18808-Ljbffr

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