Principal Associate, Compliance Governance Risk Specialist

West Creek 3 (12073), United States of America, Richmond, Virginia
Principal Associate, Compliance Governance Risk Specialist
The Compliance Department at Capital One is creating a dynamic and innovative work environment to enable associates to use their experience and expertise to drive important projects and high priority deliverables. Compliance continues to elevate its presence across Capital One by fostering an environment where collaboration, openness and ingenuity are valued. We obsess about doing the right thing and we believe that innovation is powered by the desire to deliver superior results. We are an entrepreneurial team that embraces bold ideas and if you have the drive for building amazing customer experiences that are driven by data and insight, we want you!
The Compliance Governance Risk Specialist will partner with the Compliance Risk Assessment lead, bringing quantitative, data and analytical skills to bear in governance of compliance risk assessments. They will identify opportunities to package enterprise risk assessment data into formats that are intuitive to use and that bring valuable insights for stakeholders. They will implement enhancements to the existing portfolio of dashboards, visualization tools and reports, as well as drive standardization of data management and troubleshooting when issues arise. The ideal candidate has an understanding of risk assessments, coupled with an aptitude for tools/systems and technology and a passion for process excellence.
General Responsibilities:

• Create and execute well-managed data solutions, tools, templates and protocols that equip Compliance advisors to effectively and efficiently engage in risk assessments
• Play an active role in the process excellence journey, enhancing existing risk diagnostics and rolling out new line of business (LOB) aligned reporting of assessment outcomes
• Serve as a liaison to local governance and enterprise risk teams; partner with colleagues to continually assess and enhance workbooks, job aids, dashboards and reports
• Perform quality assurance of completed risk assessments and identify and remediate discrepancies in assessment validation efforts
• Review and update existing risk assessment dashboards on a daily basis to ensure accuracy and timeliness
• Continually assess and enhance workbooks, job aids, dashboards and reports to incorporate user feedback and align to strategic shifts in risk assessment methodology
• Create and send stakeholder surveys; aggregate results; recommend and implement process excellence opportunities for improvement
• Suggest opportunities and act on requests to design and develop tools, techniques, metrics and dashboards for insights and data visualization
• Prepare metrics, deliverables and decks for Compliance executives such as risk steward review, enforcement status and management business reviews (MBRs)
• Contribute to Compliance exams, audits and strategic initiatives
• Partner with Analytics & Innovation team and engage in design, piloting, testing and refinement of relevant new and enhanced product initiatives that feed into risk assessment activities
• Assist in building requirements and applying product features to improve reporting, streamline and automate risk assessment & other Compliance Governance related activities

Basic Qualifications:

• Associate's Degree or military experience
• At least 2 years experience in compliance or risk management
• At least 3 years of experience in data analysis, or data management, or data quality assurance
• At least 2 years of Google Suite experience (Studio, Drive, Slides, Docs, Sheets and Analytics)
• At least 2 years of experience performing Vookups, sheets or excel formulas such as query and importrange, data extraction and manipulation

Preferred Qualifications:

• Bachelor's Degree
• At least 3 years of experience in a risk or compliance role within Financial Services, Technology, Consulting, Legal or Audit
• At least 1 year of experience with risk assessments
• At least 1 year of experience using a business intelligence visualization tool (Tableau)
• At least 1 year of experience with stakeholder communications or email tools
• Ability to manage and prioritize multiple tasks daily
• Ability to work independently and in a team structure with a diverse group of individuals
• Proactivity; track record of anticipating and suggesting solutions to problems
• Strong verbal and written communication skills
• Strong interpersonal and relationship-building skills, with a positive and collegial attitude
• Demonstrated ability to explore and quickly grasp new technologies and tools as well as internal systems

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).