Compliance Advisor Principal Associate

Capital One Financial

Confirmed live yesterday High trust

Quick summary

Work type: On-site
Location: Richmond, VAMcLean, VAChicago, ILPlano, TXRiverwoods, IL
Salary: $109,900–$125,400 / yr
Posted: 29 days ago
Freshness: Confirmed live yesterday
Nearby: 99+ roles within 25 mi

Market check

Salary context

Below market

How this pay compares to similar roles

Similar $164k

This role $118k

$100k most similar roles pay here $206k

This role pays less than 88% of similar roles. Most pay $133,668–$193,778 — the shaded band above. At the midpoint, this role pays about $118k versus about $164k for comparable roles.

Based on 240 similar postings.

Employer

About Capital One Financial

Capital One Financial is a bank holding company specializing in credit cards, auto loans, banking, and savings products, known for its data-driven approach to consumer and commercial finance. Industry: Financial Services & Banking

Capital One Financial currently has 998 open roles on FindRole.

Listed pay typically runs $197,300–$225,100 across 992 roles with salary data.

Most-posted roles

View all roles at Capital One Financial

At a glance

TL;DR · Compliance Advisor Principal Associate

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MASE Compliance - Compliance Advisor Principal Associate joins the Compliance and Ethics Organization to manage regulatory compliance risk through advice and effective challenge. This role focuses on assessing risks in models and scripts, specifically evaluating how computer code aligns with regulatory requirements during the Code Design Intent Review process. The individual will collaborate with script owners, business risk offices, and compliance partners to ensure that risks stemming from automated processes are managed effectively. Key responsibilities include providing guidance on compliance requirements for activities executed through computer code, identifying data trends to flag emerging risks, and responding to inquiries from Internal Audit and Regulatory Examiners. The role requires expertise in the Compliance Risk Management Framework and knowledge of how scripts drive business processes. Essential skills include strong communication, strategic influencing, and the ability to navigate ambiguous situations within a highly regulated environment.

Skills

Risk Management Framework Compliance Risk Management Audit Information Privacy Three Lines of Defense Statistical Modeling

What you'll do

Assess the regulatory alignment of logic within specific computer code and scripts during the Code Design Intent Review process.
Provide guidance and effective challenge on compliance risks related to the use of scripts and automated processes.
Advise business lines on how to apply compliance requirements to activities executed through computer code.
Perform assessments of regulatory risk associated with the use of models through the Model Compliance Inherent Risk Assessment.
Identify trends in data to identify and advise on emerging regulatory risks.
Respond to inquiries from Internal Audit and Regulatory Examiners regarding risks stemming from script usage.
Conduct targeted validations and reviews on scripts that implement controls over applicable regulations.
Analyze compliance data to ensure consistency and adequacy within the Compliance Risk Management Framework.

What we're looking for

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 knowledge of the use of computer code and script to drive business processes.
Master's Degree or Law Degree (preferred).
4+ years of experience in compliance, legal, or audit (preferred).
Certified Anti-Money Laundering Specialist, Certified Information Privacy Professional, Series 7, Series 24, Series 63, or Series 65 certification (preferred).

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