Principal Associate, Compliance

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) teams 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 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 Ones 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:

• Bachelors Degree

• CRCM certification or IAPP certification

• 1 year of experience with Salesforce

• 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.

The minimum and maximum full-time annual salaries for this role are listed below by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Candidates hired to work in other locations will be subject to the pay range associated with that location and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.

Capital One offers a comprehensive competitive and inclusive set of health financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status exempt or non-exempt status and management level.

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- 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.

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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).