Description
The Compliance Complaints Team within the Compliance organisation at Capital One is seeking an experienced Principal Associate to execute compliance investigations and reviews. The role involves ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard.
The successful candidate will enjoy 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.
Responsibilities:
- Execute targeted investigations, analysis, and testing for both enterprise-wide operating standards and consumer compliance requirements
- Analyze data from multiple sources by applying technical abilities to navigate systems and datasets
- Review tests and investigative documentation executed by peers for accuracy and adherence to established procedures
- Establish and maintain strong collaborative relationships with Business Areas and Compliance Advisors
- Present investigative findings and communicate results to Accountable Executives and Compliance Officers, as needed
- Understand applicable laws and regulations impacting consumer products and identify when a case needs to be escalated due to potential compliance and/or legal exposure
- Leverage critical thinking, intellectual curiosity and expertise to anticipate and identify issues
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:
- Bachelor's 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 stakeholders
Salary: Plano, TX: $109,900 - $125,400
Benefits: Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.