Full-Time

Principal Associate

Compliance Governance Team, Complaints

Confirmed live in the last 24 hours

Capital One

Capital One

10,001+ employees

Offers diverse financial products and services

Fintech
Financial Services

Senior

No H1B Sponsorship

Plano, TX, USA + 2 more

More locations: McLean, VA, USA | Richmond, VA, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Data Analysis
Requirements
  • High School Diploma, GED or equivalent certification
  • At least 3 years of experience working in Compliance, Legal, Risk, Complaints or Escalations
  • Bachelor’s Degree (Preferred)
  • 3+ years of financial services consumer compliance monitoring or quality assurance experience (Preferred)
  • 2+ years of experience working in financial services (Preferred)
  • 2+ years complaint handling experience (Preferred)
Responsibilities
  • 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

Capital One offers a range of financial services, including credit cards, savings accounts, car loans, and business checking accounts, primarily in the United States. The company focuses on user-friendly banking solutions with no fees or minimums for checking accounts, making it easier for customers to manage their finances. Capital One differentiates itself by emphasizing financial inclusion and literacy, partnering with organizations to provide educational resources. Their goal is to make banking more accessible and straightforward for everyone.

Company Stage

IPO

Total Funding

$15.9M

Headquarters

McLean, Virginia

Founded

2014

Simplify Jobs

Simplify's Take

What believers are saying

  • Partnership with Minna Technologies positions Capital One as a leader in subscription management.
  • Collaboration with Worldpay enhances payment security, addressing payment fraud concerns.
  • Recognition by HITEC as 2024 Corporation of the Year boosts brand reputation.

What critics are saying

  • Increased competition in subscription management may dilute Capital One's first-mover advantage.
  • Key executive departures, like Joe Rodriguez, could impact risk management capabilities.
  • Focus on mobile banking may attract regulatory scrutiny over data privacy and security.

What makes Capital One unique

  • Capital One offers user-friendly banking with no fees or minimums for checking accounts.
  • The company emphasizes financial inclusion through community partnerships and philanthropic efforts.
  • Capital One's mobile app provides innovative subscription management tools for credit card users.

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Benefits

Medical, Dental, & Vision coverage

Onsite Health Centers

Prescription saving with network of local pharmacies

Stock Purchase Plan

Education Assistance

401(k)

Flexible Spending Accounts

Life and Disability insurance

Generous paid time off + corporate & floating holidays

Registered dieticians on site, cooking classes and free virtual fitness classes

Employee Assistance Program