MASE Compliance - Compliance Advisor Principal Associate

Capital One • McLean, VA

8d • $109,900 - $125,400

About The Position

The Compliance Advisor Principal Associate will work within Capital One’s Compliance and Ethics Organization, supporting the business in managing regulatory compliance risk through advice and effective challenge. The Model, Adverse Action, and Script Enhancement (MASE) Compliance team assesses compliance risk in models and scripts and advises the business on managing identified risks.

The role assesses whether the logic in computer-code scripts aligns with regulatory intent through the Code Design Intent Review (CoDIR) process, in partnership with code experts. It reports assessment results to script owners and collaborates with script owners, business risk offices, compliance partners, and Tech and Data Risk Management to help manage regulatory risk arising from scripts. The position also provides guidance and challenge to business lines, supports script governance, and may assist with model risk assessment through the Model Compliance Inherent Risk Assessment (MoCIRA).

The advisor identifies trends and emerging risks in data, maintains expertise in applicable laws and regulations and the Compliance Risk Management Framework, responds to Internal Audit and Regulatory Examiner inquiries, conducts targeted script validations and reviews, and helps capture, maintain, and analyze compliance data. The role is based on the listed salary ranges for Chicago, McLean, Plano, Richmond, or Riverwoods; the posting also notes that pay for other locations depends on location. The role is eligible for performance-based incentive compensation.

Requirements

• Bachelor’s Degree.
• At least 2 years of experience in compliance, legal, or audit.
• At least 2 years of experience supporting, partnering, and interacting with internal business clients.
• Strong organizational skills, results orientation, and focus on achieving short- and long-term goals.
• Ability to navigate ambiguity, execute an agenda in a fluid environment, and manage competing priorities.
• Collaborative, solution-oriented mindset and solid teamwork skills, including the ability to build and leverage a high-performing team.
• Highly developed interpersonal, presentation, written, and oral communication skills, strategic influencing skills, and ability to drive agreement through intellect, interpersonal skills, and negotiation.
• Ability to respectfully challenge the first line of defense to strengthen business initiatives.
• Track record of thriving in a highly regulated industry and a fast-paced, entrepreneurial, dynamic environment.
• Ability to work independently while appropriately escalating and interacting with senior leadership.
• Ability to collaborate with associates across functions, departments, and job levels, inside and outside Compliance.
• Understanding of key regulatory and audit requirements and the three lines of defense risk management framework.
• Self-starter with ability to develop new processes and procedures with little direction.
• Strong knowledge of using computer code and scripts to drive business processes.

Nice To Haves

• Master’s Degree or Law Degree.
• 4 or more years of experience in compliance, legal, or audit.
• Certified Anti-Money Laundering Specialist, Certified Information Privacy Professional, Series 7, Series 24, Series 63, or Series 65 certification.

Responsibilities

• Assess the regulatory alignment of script logic through the Code Design Intent Review (CoDIR) process, partnering with code experts and reporting assessment results to script owners.
• Collaborate with script owners, business risk offices, and compliance partners across the enterprise to manage regulatory risk arising from scripts.
• Engage with Tech and Data Risk Management to ensure regulatory risks are addressed in the Script Governance Standard and platform.
• Provide effective challenge and guidance on compliance risks related to scripts and support lines of business through interactions and forums.
• Advise lines of business on applying Compliance requirements to activities executed through computer code and scripts.
• Assist, when necessary, in assessing regulatory risk associated with models through the Model Compliance Inherent Risk Assessment (MoCIRA).
• Identify data trends and advise on emerging risks.
• Maintain subject matter expertise in applicable laws and regulations and the Compliance Risk Management Framework.
• Engage with and respond to Internal Audit and Regulatory Examiner inquiries concerning regulatory risk from scripts.
• Conduct targeted validations and reviews of scripts that implement controls over applicable regulations.
• Assist in capturing, maintaining, and analyzing compliance data and interpreting it to support consistent and adequate Compliance Risk Management.

Benefits

• Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being; eligibility varies by employment status and management level.
• Performance-based incentive compensation, which may include cash bonuses and/or long-term incentives.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior