Principal Associate Compliance Advisor - Third Party Compliance
Capital OneAbout the role
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.
Responsibilities:
The Advisor will have an understanding of third-party compliance risks and controls and leverage their knowledge to:
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
The preferred skill set for this role includes:
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
Basic Qualifications:
High School Diploma, GED, or equivalent certification
At least 3 years of experience in Compliance, Third-Party Management, or Risk Management
Preferred Qualifications:
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
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actua
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