Principal Associate, Complaints Analysis

Capital One
Plano, Texas
Jun 17, 2022
Jul 02, 2022
Full Time
Plano 5 (31065), United States of America, Plano, Texas

Principal Associate, Complaints Analysis

Principal Associate - Enterprise Compliance Complaints Team

The Compliance Complaints Team within the Fair & Responsible Banking Compliance organization is seeking an experienced Principal Associate who will be responsible for executing compliance testing. The Principal Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. The role will involve engaging in ad hoc complaint analysis as well as privacy related reviews. This role will have the opportunity to work with a variety of teams across Capital One. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously. In addition, this role requires great attention to detail and excellent verbal and written communication skills.

Responsibilities will include (but may not be limited to):
  • Under the leadership of a team leader, executes targeted testing for both enterprise wide operating standards and consumer compliance requirements
  • Manages testing schedules to ensure all tasks and reporting are completed within established timeframes
  • Analyzes data from multiple sources and systematically documents the work and results
  • Reviews tests executed by peers for accuracy and adherence to test procedures
  • Establishes and maintains strong relationships with Business Areas and Compliance Advisors
  • Assists in communicating results to Accountable Executives and Compliance Officers, as needed
  • Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure
  • Leverages critical thinking and expertise to anticipate and identify issues
  • Ability to perform targeted privacy related reviews as well as other ad hoc analysis

Basic Qualifications:
  • High School Diploma or GED
  • At least 1 year of experience working in one of the following areas: Compliance, Legal, Risk, Complaints or Escalations

Preferred Qualifications:
  • 3 years of financial services consumer compliance monitoring or quality assurance experience
  • 2 years of experience working in financial services
  • 2 years complaint handling experience
  • Certified Notary Public
  • Bachelor's Degree

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to

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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

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