Compliance Advisory Specialist III, Principal Associate

* ** Maintain subject matter expertise of applicable laws and regulations for Retail Bank products and services across the lifecycle of an account**
* ** Partner with Legal for complaints that need Legal review for UDAAP/UDAP risks, as well as for any Legal risks identified**
* ** Consult and work closely with Compliance colleagues in Bank horizontal areas that require complaint reviews, e.g. Privacy, Fair Lending, AML**
* ** Document complaint regulatory assessments, consistent with policies and procedures**
* ** Work with Retail Bank complaints operations to review and resolve complaint questions and engage in meetings as needed**
* ** Provide ad-hoc training to first line teams on regulatory risk related to complaints and customer experience**
* ** Advise business and Compliance colleagues on known risks, events or activities that may generate complaints Support lines of business through expert advice, and elevate best practices**
* ** Request and analyze data; support and initiate efforts to improve data sourcing; and drive innovation with business partners and IT support teams**
* ** Identify trends in data and proactively advise on identified external and internal risks**
* ** Review Compliance tools to generate trending information, and escalate with subject matter experts, advisors, and the business when necessary**
* ** Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards**
* ** Maintain expert understanding of Compliance Risk Management Framework and applicable laws and regulations**
* ** Participate in reporting activities used by Senior Leadership**
* ** Demonstrate strong time management, organizational, and prioritization skills; complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail**
* ** Exhibit strong problem-solving and conceptual thinking skills**
* ** Flexibility to travel to various Capital One locations as necessary**
* ** A focus on results and achieving short- and long-term goals**
* ** A proven track record of supporting and working across groups and functions and with a senior management team**
* ** Ability to navigate ambiguous situations to drive clarity and execute a risk agenda in a fluid environment within a highly-regulated industry**
* ** Solid teamwork skills; an ability to contribute to and leverage the capabilities of a high performing, cross-functional team**
* ** Highly developed interpersonal, presentation, and communications skills (written and oral)**
* ** Strategic influencing skills, with the ability to build understanding and agreement among diverse groups**
* ** Strong judgment, integrity, and discretion in handling highly sensitive and confidential issues**
* ** An understanding of how banking technology performs, and how consumer laws and regulations apply to the utilization of technology and data in serving our customers**
* ** Strong project management, process management, and organizational skills**
* ** Ability to balance operating independently with appropriate escalation to and interaction with senior leadership**
* ** Existing familiarity or subject matter expertise in Regulation E and/or Americans with Disabilities Act**
* ** Bachelor’s Degree or military experience**
* ** At least 3 years of experience in compliance, legal, risk management, or audit**
* ** At least 2 years of experience in the financial services industry**
* ** At least 1 year of experience supporting, partnering, and interacting with business clients**
* ** Juris Doctor or Master’s Degree**
* ** 4+ years of experience in compliance, legal, risk management, or audit**
* ** CRCM (Certified Regulatory Compliance Manager) certification, Association of Certified Anti-Money Laundering Specialists (ACAMS) certification, or Certified Information Privacy Professional (CIPP) certification
** 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.
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