Compliance Advisory Specialist II

Overview

Compliance Advisory Specialist II

Capital One, a Fortune 500 company and one of the nation’s top 10 banks, offers a broad spectrum of financial products and services to consumers, small businesses, and commercial clients.  We nurture a work environment where people with a variety of thoughts, ideas, and backgrounds, guided by our shared values, come together to make Capital One a great company – and a great place to work.

As a Senior Associate Conflict of Interest (COI) Specialist in the Ethics Office, you will be responsible for contributing to the administering of the Company’s Ethics Line, and Gifts & Entertainment and Conflict of Interest disclosure programs.  This role will be responsible for helping to manage, handle, and enhance workflows and technology systems and tools used to evaluate and disposition Ethics Line complaints and  employee disclosures related to gifts & entertainment and conflicts of interest.  The role will include reviewing and resolving hiring candidates and associates’ participation in certain outside activities, such as board positions and secondary employment, as well as certain personal  financial investments and other potential relationship conflicts.  Specific Responsibilities include:

• Conducting assessments during intake of Ethics Line and associate disclosures to triage and assign matters based on risk, severity and policy applicability; escalating high-risk or sensitive cases in accordance with established protocols; and resolving low-risk cases in accordance with established standards
• Conducting COI analyses involving associate disclosures related to relationships, outside activities, including certain Board positions, secondary employment, and personal financial investments, from current employees and job candidates and dispositioning the same
• Handling the pre-approval process for gifts and entertainment disclosures and making well-reasoned determinations as to whether approval requests should be approved, approved with a mitigations strategy, or declined
• Monitoring intake trends and metrics to identify emerging risks and support continuous improvement of ethics and compliance processes
• Managing and enhancing technology systems and tools and analyzing business workflows to maximize use of technology to improve the efficiency and effectiveness of Ethics Office programs   
• Implementing case management best practices and technological solutions to gain efficiencies and scale the applicable programs 
• Establishing and maintaining strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management, as well as within the lines of business
• Supporting the development and presentation of key metrics for Ethics Program reporting
• Effectively communicating with stakeholders, key partners, and Corporate Integrity colleagues and senior leaders concerning the work of the Ethics Office
• Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with team members and various partners  

Candidate Profile:

The ideal candidate is a tech savvy, diligent and dedicated professional with experience in  ethics and compliance, who works collaboratively as part of a team, enjoys learning new systems and has a growth mindset, is an active listener and  critical thinker, possesses excellent written and oral communication skills, and can proactively identify thoughtful well-reasoned solutions. This individual is self-motivated, flexible in responding to changes in assignments and job responsibilities, and maintains positive working relationships with business partners.  Finally, this individual must be dedicated to complying with all organizational and professional ethical standards.

Basic Qualifications:

• Bachelor’s Degree or military experience
• At least 1 year of experience in Corporate or government Ethics, Government Regulatory Enforcement, Legal, Risk Management, or Compliance programs

Preferred Qualifications:

• 1+ years of experience working in financial services
• 1+ years of experience analyzing ethics complaints, conflicts of interest and gifts and entertainment
• Experience with ethics and compliance initiatives such as fostering an ethical culture and external benchmarking
• Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives
• Experience with tech systems and tools, especially those involving case processing and management, ethics programming and helplines, or other investigation case management systems
• Proficiency in the Google Suite - Google Docs, Slides, Sheets, Gemini, or the equivalent, and use of AI systems and tools 
• Excellent written and verbal communication skills

At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (i.e. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-2, E-3, L-1 and O-1, or any EADs or other forms of work authorization that require immigration support from an employer).

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.

McLean, VA: $96,500 - $110,100 for Compliance Advisory Specialist II

Richmond, VA: $87,700 - $100,100 for Compliance Advisory Specialist II

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 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.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. 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. 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 Show phone number or via email at View email address on capitalonecareers.com . 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 View email address on capitalonecareers.com

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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).