Principal Associate, Compliance and Complaints

Principal Associate, Compliance and Complaints
The 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 datasets
• Reviewing tests and investigative documentation executed by peers for accuracy and adherence to established procedures
• Establishing and maintaining strong collaborative relationships with Business Areas and Compliance Advisors
• Presenting investigative findings and communicating results to Accountable Executives and Compliance Officers, as needed
• Has 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 exposure
• Leveraging critical thinking, intellectual curiosity and expertise to anticipate and identify issues

This 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 certification
• At least 2 years of compliance testing or monitoring, or quality assurance, or audit experience, or investigation experience

Preferred Qualifications:

• Bachelors Degree
• 3+ years of compliance testing or monitoring, or quality assurance, or audit experience, or investigation experience
• 4+ years of financial services consumer compliance monitoring experience
• 4+ years complaint handling or analysis experience
• Experience presenting to stake stakeholders

At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any 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.
Plano, TX: $109,900 - $125,400 for Compliance Tester III
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.
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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).