Principal Associate Compliance Advisor
About The Position
The Principal Associate Compliance Advisor - Third Party Compliance will be responsible for working with business partners and stakeholders across Capital One to advise on third-party risk. The Principal Associate Compliance Advisor will support the Third Party Compliance (TPC) team's Governance and Advisory functions, delivering quality results in a complex subject matter area. The Advisor will work with the business, third party managers, and the wider third party risk program to create and advise on the management of third-party compliance monitoring controls, perform compliance assessments on third parties, execute TPC quality assurance processes, and support Audit and Exam requests. TPC is a highly collaborative team that delivers value-add risk services to our business partners. A successful Advisor in this role will be a highly-motivated, results-oriented Risk Management professional with excellent analytical, planning, collaboration, and communication skills.
Requirements
- High School Diploma, GED, or equivalent certification
- At least 3 years of experience in Compliance, Third-Party Management, or Risk Management
- Collaboration and project management skills that influence and drive projects and results with cross-functional stakeholders
- Experience with the laws and regulations that are applicable to the third-party services and products used by Capital One
- Knowledge of or ability to quickly learn how to access third-party data in source systems
- An understanding of Capital One's Lines of Defense structure
- Knowledge of testing program structures and methodologies
- Demonstrated creative problem solving ability
- Experience with inherent risk, control effectiveness, and residual risk methodologies
Nice To Haves
- Bachelor's Degree
- CRCM certification or IAPP certification
- 1+ year of experience with Salesforce
- 1+ year of experience with Google Suite
- A basic understanding of Governance, Risk, and Compliance software tools
- Experience in Controls Development, Controls Management, and Reporting activities
- Experience in a third party risk and compliance program at a financial institution
- Experience with Process Management or Project Management
Responsibilities
- Advise lines of business, Third-Party Managers, and Contract Managers on compliance risks and controls across the third party lifecycle
- Perform pre-contract third party due diligence assessments
- Perform quality assurance reviews on TPC program processes
- Partner with Enterprise Supplier Management and Third Party Risk Management to mature third party compliance controls, monitoring actions, and risk identification questions
- Lead and support Third Party Compliance projects as needed, including Audit and Exam requests, third-party compliance training process improvements, and the development of a third-party compliance toolkit
- Identify and implement improvements to existing Third Party Compliance processes
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Credit Intermediation and Related Activities
Education Level
High school or GED
Number of Employees
5,001-10,000 employees
