Principal Associate

Plano 1 (31061), United States of America, Plano, Texas

Principal Associate - Compliance Governance Team - Complaints

Compliance Governance, within the Compliance organization, is seeking an experienced Principal Associate who will be responsible for executing compliance testing. The Principal Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. The role will involve assisting in evaluating ways to integrate multiple complaint processes together, engaging in ad hoc complaint analysis, and conducting privacy related reviews. 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 testing for both enterprise wide operating standards and consumer compliance requirements

• Manages testing schedules to ensure all tasks and reporting are completed within established timeframes

• Evaluates multiple processes and assists in developing integrated approaches to manage and oversee complaints

• Analyzes data from multiple sources and systematically documents the work and results

• Reviews tests executed by peers for accuracy and adherence to test procedures

• Establishes and maintains strong relationships with Business Areas and Compliance Advisors

• Assists in communicating results to Accountable Executives and Compliance Officers, as needed

• Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure

• Leverages critical thinking and expertise to anticipate and identify issues

• Ability to perform targeted privacy related reviews as well as other ad hoc analysis

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 3 years of experience working in Compliance, Legal, Risk, Complaints or Escalations

Preferred Qualifications:

• Bachelor’s Degree

• 3+ years of financial services consumer compliance monitoring or quality assurance experience

• 2+ years of experience working in financial services

• 2+ years complaint handling experience

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital 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 committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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).