Compliance Advisory Specialist II

West Creek 3 (12073), United States of America, Richmond, Virginia
Compliance Advisory Specialist II
Capital One offers a broad spectrum of financial products and services to consumers, small businesses, and commercial clients. We nurture a work environment where people with a variety of thoughts, ideas, and backgrounds, guided by our shared values, come together to make Capital One a great company and a great place to work.
We are looking for a teammate to help the Ethics Office advance its mission to create an industry leading ethics program that provides our associates with the information and guidance they need to live our values. As a Sr. Associate within the Ethics Office, you will be responsible for supporting the following critical programs: (1) Conflicts of Interest (COI) disclosures, (2) Gifts and Entertainment (G&E) disclosures, and (3) Ethics Program management. Specific responsibilities include:

• Conducting the initial assessment, fact-finding, documentation, escalation, and resolution of COI and G&E disclosures from current associates and candidates;
• Coordinating the receipt, documentation, routing, escalation, and resolution of allegations of misconduct submitted to Capital One's Ethics Line, and other reporting channels;
• Serving as a strategic partner to the lead communicators and chiefs of staff across the enterprise to plan and prepare effective and engaging internal communications that educate, inform, connect with and inspire leaders and associates to adhere to the Code of Conduct;
• Assisting with program awareness and outreach efforts such as administering the Code of Conduct, drafting related training and awareness campaigns, benchmarking, applying for external awards, and further building of the Ethics program;
• Providing insight and perspective to enhance the efficiency and effectiveness of the Ethics Office;
• Participating in regular status meetings and providing oral and written briefings to senior leadership in a professional, concise, and easily digestible format;
• Supporting the development and presentation of key metrics reporting for Ethics Program data;
• Establishing and maintaining strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management, as well as within the lines of business; and
• Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.

Candidate Profile:
The ideal candidate is an experienced ethics or compliance professional, who is ready to join a talented team of ethics professionals and work as a cooperative and productive team member. A successful candidate will be an active listener and have experience spotting issues and proactively identifying thoughtful solutions. Candidates must be self-motivated, demonstrate flexibility in responding to changes in assignments and job responsibilities, and have the ability to maintain positive working relationships with business partners across the company. Finally, candidates must be able to comply with all organizational and professional ethical standards.
Basic Qualifications:

• Bachelor's Degree or military experience
• At least 2 years of experience in Corporate Ethics, Government Regulatory Enforcement, Risk Management, or Compliance

Preferred Qualifications:

• Financial services industry experience
• Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives
• Familiarity with Ethics Helplines and other investigation case management systems
• Experience with program management, job aid creation, or maintenance of program governance documents
• Excellent written and verbal communication skills
• Proficiency in the Google Suite - Google Docs, Slides, Sheets, Keep or Microsoft equivalent

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 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 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).