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Principal Associate- Ethics Office

Capital One
Richmond, Virginia, United States
Closing date
Nov 22, 2023

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Job Details

West Creek 3 (12073), United States of America, Richmond, Virginia

Principal Associate- Ethics Office

Capital One, a Fortune 500 company and one of the nation's top 10 banks, offers a broad spectrum of financial products and services to consumers, small businesses, and commercial clients. We nurture a work environment where people with a variety of thoughts, ideas, and backgrounds, guided by our shared values, come together to make Capital One a great company - and a great place to work.

As a Principal Associate in the Ethics Office, you will help advance our mission to create an industry leading ethics program that provides our associates with the information and guidance they need to live our values and Do The Right Thing every day. You will be responsible for: (1) conducting comprehensive conflict of interest (COI) analyses involving associate disclosures related to outside activities, relatives, personal financial investments, board positions, and secondary employment, among others; (2) building upon our brand through ethics outreach, awareness, training, and communications; (3) managing the Code of Conduct administration; and (4) supporting design and implementation of the Ethics Office program strategy and key initiatives.

Specific responsibilities include:
  • Conducting initial assessment, fact-finding, and interviews supporting the analysis and resolution of COI disclosures from current employees and job candidates;
  • Coordinating the receipt, documentation, routing, escalation, and resolution of allegations of misconduct submitted to Capital One's Ethics Line, and other reporting channels;
  • Participating in regular status meetings and providing oral and written briefings to Ethics Office leadership in a professional, concise, and easily digestible format;
  • Supporting the development of process improvements and enterprise-wide certifications to promote disclosure of potential conflicts and programs to monitor adherence to conditions designed to mitigate conflicts;
  • Assisting with program awareness and outreach efforts such as administering the Code of Conduct, drafting related training and awareness campaigns, benchmarking, applying for external awards, and further building of the Ethics program;
  • Performing Quality Assurance reviews as needed to assess whether COI disclosures and misconduct allegations were handled in accordance with applicable procedures.
  • Providing insight and perspective to enhance the efficiency and effectiveness of the Ethics Office;
  • Supporting the development and presentation of key metrics reporting for Ethics Program data;
  • Establishing and maintaining strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management, as well as within the lines of business; and
  • Prioritizing among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.

Candidate Profile:

The ideal candidate is an experienced ethics or compliance professional, who is ready to join a talented team of ethics professionals and work as a cooperative and productive team member analyzing conflicts of interest. A successful candidate will be an active listener and have experience spotting issues and proactively identifying thoughtful solutions. Candidates must be self-motivated, demonstrate flexibility in responding to changes in assignments and job responsibilities, and have the ability to maintain positive working relationships with business partners across the company. Finally, candidates must be able to comply with all organizational and professional ethical standards.

Basic Qualifications:
  • Bachelor's Degree or Military Experience
  • At least 3 years experience in Corporate Ethics, or Government Regulatory Enforcement, or Risk Management, or Compliance programs

Preferred Qualifications:
  • At least 4 years of experience in Ethics, Risk, or Compliance Programs with a focus on analyzing conflicts of interest;
  • Financial services industry experience
  • Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives;
  • Familiarity with Ethics Helplines and other COI case management systems;
  • Experience with program management, job aid creation, or maintenance of program governance documents;
  • Excellent written and verbal communication skills; and
  • Proficiency in the Google Suite - Google Docs, Slides, Sheets, Keep or Microsoft equivalent

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

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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 (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable 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

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

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).


We Don’t Only Think Big Things—At Capital One, We Do Big Things.

You’re dedicated to your career. You deserve professional satisfaction and personal fulfillment. You belong at Capital One.

Here, every day brings another chance to do impactful work that matters: helping millions of customers confidently manage their money, building stronger communities and delivering truly disruptive tech. You’ll give your all alongside some of the brightest, most resilient people in the industry—and in return, you’ll enjoy the growth opportunities, support, flexibility and benefits you need for an exhilarating life both on and off the job.

Be inspired. Be yourself. That’s #LifeAtCapitalOne.

Creating a Culture of Belonging

At Capital One, we value diversity, inclusion and belonging at our core. We’re building a place of belonging—where everyone can feel seen, heard, valued and free to be their authentic selves. We want to be a place of opportunity—where associates from all backgrounds innovate for our customers and communities, and build meaningful, fulfilling careers.

We endeavor to be a welcoming and inspiring place for all. We seek and embrace diversity. And we’re committed to having a diverse and inclusive workforce, focused on increasing the representation of underrepresented groups, strengthening our culture of inclusion and belonging and harnessing our scale to invest in our communities.

We’re focused on three core principles to advance diversity, inclusion and belonging across Capital One:

Create a culture of belonging where everyone can thrive and innovate

Attract and develop talent from all backgrounds and experiences

Ensure our systems and programs promote fairness and equity

Get a career with more at Capital One.  Discover it for yourself today.

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, sexual orientation, gender identity, protected veteran status, disability or other protected status.


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