Principal Associate - Ethics & Investigations

Capital One
Richmond, Virginia
Jun 18, 2021
Jun 25, 2021
Full Time
West Creek 3 (12073), United States of America, Richmond, Virginia

Principal Associate - Ethics & Investigations


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 Ethics and Investigations (E&I), Office of Corporate Investigations, you will be responsible for conducting comprehensive investigations of alleged internal fraud and unethical business practices. Key priorities for this position include conducting fact-based investigations in a thoughtful and timely manner, meeting regulatory compliance filing deadlines, and providing and escalating detailed information to management and partners to make important disciplinary, operations, and compliance decisions.

Specifically, your responsibilities will include:
  • conduct complex investigations of alleged unlawful or unethical activity and violations of company policies in an efficient, thorough, and professional manner;
  • prioritize among multiple investigative tasks and responsibilities in a fast-paced environment, while maintaining positive collaborative relations with various partners;
  • prepare and implement investigation plans;
  • author detailed and objective, fact-based reports and maintain well-organized and accurate case files;
  • conduct professional investigative interviews of associates and contractors, often involving sensitive subjects;
  • maintain strict confidentiality;
  • Identify potential process or control gaps that may require remediation, or that may be indicative of more systemic breakdowns, trends, or emerging risks when considered in conjunction with other available information and investigative findings; and
  • build and maintain effective working relationships with E&I's investigative partners and stakeholders in the impacted lines of business.

The ideal candidate is a critical thinker and an active listener, exercises good judgment, has excellent written and oral communication and organizational skills, and serves as a collaborative team member; familiarity with and experience in the financial services industry and regulatory environment as well as conducting internal investigations is valued. 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 2 years of experience conducting investigations involving financial and white-collar crimes

Preferred Qualifications:
  • Relevant advanced degree (e.g., JD, MBA)
  • WZ Certification in Interviewing Methods or equivalent
  • Experience preparing and reviewing Suspicious Activity Reports (SARs)
  • Certified Protection Professional (CPP), Certified Fraud Examiner (CFE), or Association of Certified Anti-Money Laundering Specialists
  • Experience with and knowledge of the financial services regulatory environment
  • Demonstrated experience in roles requiring superior critical thinking and active listening skills
  • Demonstrated experience in fast-paced, nuanced environments
  • Exceptional communication, interpersonal, organization, and writing skills

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