Compliance Advisory Specialist II

Capital One • McLean, VA

1d • $96,500 - $110,100

About The Position

As a Senior Associate Conflict of Interest (COI) Specialist in Capital One’s Ethics Office, this role contributes to administering the Company’s Ethics Line and its Gifts & Entertainment and Conflict of Interest disclosure programs. The specialist helps manage and improve the workflows, technology systems, and tools used to evaluate and disposition Ethics Line complaints and employee disclosures. The work includes reviewing and resolving disclosures from current employees and job candidates concerning outside activities, such as board positions and secondary employment, personal financial investments, gifts and entertainment, and other potential relationship conflicts.

The position also monitors intake trends, supports continuous improvement of ethics and compliance processes, implements case management practices and technology solutions, builds relationships with business partners, and contributes to Ethics Program reporting. The ideal candidate is tech-savvy, diligent, collaborative, open to learning systems, and able to communicate clearly, think critically, adapt to changing responsibilities, and develop thoughtful solutions while adhering to ethical standards.

Requirements

• Bachelor’s degree or military experience.
• At least 1 year of experience in Corporate or government Ethics, Government Regulatory Enforcement, Legal, Risk Management, or Compliance programs.
• Excellent written and oral communication skills.
• Ability to work collaboratively, listen actively, think critically, identify thoughtful and well-reasoned solutions, and adapt to changing assignments and responsibilities.
• Dedication to complying with organizational and professional ethical standards.

Nice To Haves

• At least 1 year of experience working in financial services.
• At least 1 year of experience analyzing ethics complaints, conflicts of interest, and gifts and entertainment.
• Experience with ethics and compliance initiatives, such as fostering an ethical culture and external benchmarking.
• Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and report to senior leadership and executives.
• Experience with technology systems and tools, especially case processing and management, ethics programming and helplines, or other investigation case management systems.
• Proficiency with Google Suite (Google Docs, Slides, Sheets, Gemini, or equivalent) and use of AI systems and tools.

Responsibilities

• Assess Ethics Line and associate disclosures at intake; triage and assign matters based on risk, severity, and policy applicability; escalate high-risk or sensitive matters under established protocols; and resolve low-risk matters according to standards.
• Analyze conflicts of interest involving disclosed relationships, outside activities (including certain board positions and secondary employment), and personal financial investments from employees and job candidates, and determine their disposition.
• Manage pre-approval requests for gifts and entertainment and determine whether to approve, approve with a mitigation strategy, or decline them.
• Monitor intake trends and metrics to identify emerging risks and support continuous improvement of ethics and compliance processes.
• Manage and enhance technology systems and tools and analyze business workflows to improve the efficiency and effectiveness of Ethics Office programs.
• Implement case management best practices and technology solutions to improve efficiency and scale applicable programs.
• Establish and maintain working relationships with partners across Compliance, Legal, Human Resources, Risk Management, and lines of business.
• Support the development and presentation of key metrics for Ethics Program reporting.
• Communicate effectively with stakeholders, key partners, Corporate Integrity colleagues, and senior leaders about Ethics Office work.
• Prioritize multiple tasks and responsibilities in a fast-paced environment while maintaining collaborative relationships.

Benefits

• Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being; eligibility varies based on full- or part-time status, exempt or non-exempt 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: Mid Level