Compliance Advisory Specialist II

Capital One • McLean, VA

5d

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, handle, and enhance the workflows, technology systems, and tools used to evaluate and disposition Ethics Line complaints and employee disclosures concerning gifts and entertainment and conflicts of interest.

The role reviews and resolves disclosures from hiring candidates and associates about certain outside activities, such as board positions and secondary employment, as well as certain personal financial investments and other potential relationship conflicts. It also assesses Ethics Line and associate disclosures, triages and assigns matters according to risk and policy applicability, escalates high-risk or sensitive cases, and resolves low-risk cases under established standards. The specialist handles gift and entertainment pre-approval requests and determines whether to approve, approve with mitigation, or decline them.

The position monitors intake trends and metrics to identify emerging risks and improve ethics and compliance processes. It manages and enhances technology systems and business workflows, applies case-management best practices and technological solutions, and supports Ethics Program reporting. The specialist works with partners across Compliance, Legal, Human Resources, Risk Management, and lines of business, and communicates with stakeholders, colleagues, and senior leaders. The role requires prioritizing multiple responsibilities in a fast-paced environment while maintaining collaborative relationships and adhering to organizational and professional 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.
• Tech savvy, diligent, and dedicated professional with experience in ethics and compliance.
• Works collaboratively as part of a team and is willing to learn new systems.
• Active listening and critical-thinking skills.
• Excellent written and oral communication skills.
• Ability to identify thoughtful, well-reasoned solutions proactively.
• Self-motivated and flexible in responding to changes in assignments and job responsibilities.
• Ability to maintain positive working relationships with business partners.
• Commitment 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 systems, ethics programming and helplines, or investigation case-management systems.
• Proficiency in Google Suite (Google Docs, Slides, Sheets, Gemini, or equivalent) and use of AI systems and tools.
• Excellent written and verbal communication skills.

Responsibilities

• Assess Ethics Line complaints and associate disclosures during intake; triage and assign matters based on risk, severity, and policy applicability.
• Escalate high-risk or sensitive cases under established protocols and resolve low-risk cases in accordance with established standards.
• Analyze conflict-of-interest disclosures concerning relationships, outside activities such as certain board positions and secondary employment, and personal financial investments from current employees and job candidates; determine their disposition.
• Handle 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 technological 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 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.
• Eligible for 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