What are the responsibilities and job description for the Principal Associate Compliance Advisor position at Capital One?
The Principal Associate Compliance Advisor - Third Party Compliance will be responsible for working with business partners and stakeholders across Capital One to advise on third-party risk.
The Principal Associate Compliance Advisor will support the Third Party Compliance (TPC) team's Governance and Advisory functions, delivering quality results in a complex subject matter area. The Advisor will work with the business, third party managers, and the wider third party risk program to create and advise on the management of third-party compliance monitoring controls, perform compliance assessments on third parties, execute TPC quality assurance processes, and support Audit and Exam requests.
TPC is a highly collaborative team that delivers value-add risk services to our business partners. A successful Advisor in this role will be a highly-motivated, results-oriented Risk Management professional with excellent analytical, planning, collaboration, and communication skills.
Responsibilities:
The Advisor will have an understanding of third-party compliance risks and controls and leverage their knowledge to:
Advise lines of business, Third-Party Managers, and Contract Managers on compliance risks and controls across the third party lifecycle
Perform pre-contract third party due diligence assessments
Perform quality assurance reviews on TPC program processes
Partner with Enterprise Supplier Management and Third Party Risk Management to mature third party compliance controls, monitoring actions, and risk identification questions
Lead and support Third Party Compliance projects as needed, including Audit and Exam requests, third-party compliance training process improvements, and the development of a third-party compliance toolkit
Identify and implement improvements to existing Third Party Compliance processes
The preferred skill set for this role includes:
Collaboration and project management skills that influence and drive projects and results with cross-functional stakeholders
Experience with the laws and regulations that are applicable to the third-party services and products used by Capital One
Knowledge of or ability to quickly learn how to access third-party data in source systems
An understanding of Capital One's Lines of Defense structure
Knowledge of testing program structures and methodologies
Demonstrated creative problem solving ability
Experience with inherent risk, control effectiveness, and residual risk methodologies
Basic Qualifications:
High School Diploma, GED, or equivalent certification
At least 3 years of experience in Compliance, Third-Party Management, or Risk Management
Preferred Qualifications:
Bachelor's Degree
CRCM certification or IAPP certification
At least 1 year of experience with Salesforce
At least 1 year of experience with Google Suite
A basic understanding of Governance, Risk, and Compliance software tools
Experience in Controls Development, Controls Management, and Reporting activities
Experience in a third party risk and compliance program at a financial institution
Experience with Process Management or Project Management
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
Capital 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 to
Capital 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).
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.