Principal Associate, Compliance and Complaints

Principal Associate, Compliance and ComplaintsThe Compliance Complaints Team within the Compliance organization is seeking an experienced Principal Associate who will be responsible for executing compliance investigations and reviews. The Principal Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. This role will have the opportunity to work with a variety of teams across Capital One.A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously. In addition, this role requires great attention to detail and excellent verbal and written communication skills.Responsibilities will include (but may not be limited to):Under the leadership of a team leader, executes targeted investigations, analysis, and testing for both enterprise wide operating standards and consumer compliance requirements,Analyzing data from multiple sources by applying technical abilities to navigate systems and datasetsReviewing tests and investigative documentation executed by peers for accuracy and adherence to established proceduresEstablishing and maintaining strong collaborative relationships with Business Areas and Compliance AdvisorsPresenting investigative findings and communicating results to Accountable Executives and Compliance Officers, as neededHas understanding of applicable laws and regulations impacting consumer products and can identify when a case needs to be escalated due to potential compliance and/or legal exposureLeveraging critical thinking, intellectual curiosity and expertise to anticipate and identify issuesThis role is designated as a hybrid position. You are expected to adhere to Capital One's hybrid policy regarding required on-site presence at your designated office location.Basic Qualifications:High School Diploma, GED or equivalent certificationAt least 2 years of compliance testing or monitoring, or quality assurance, or audit experience, or investigation experiencePreferred Qualifications:Bachelors Degree3+ years of compliance testing or monitoring, or quality assurance, or audit experience, or investigation experience4+ years of financial services consumer compliance monitoring experience4+ years complaint handling or analysis experienceExperience presenting to stake stakeholdersCapital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position.The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.Plano, TX: $109,900 - $125,400 for Compliance Tester IIICandidates 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 candidate's offer letter.This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.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 Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace.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 View phone number on click.appcast.io or via email at View email address on click.appcast.io. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.