Principal Associate, Regulatory Change Specialist - ES Risk

Capital One
McLean, Virginia
Sep 04, 2021
Oct 03, 2021
Full Time
Center 2 (19050), United States of America, McLean, Virginia

Principal Associate, Regulatory Change Specialist - ES Risk

Principal Risk Associates at Capital One are highly motivated Risk Management professionals with excellent organizational and communication skills. They have a high level of exposure across lines of business and can create and implement innovative solutions to identify and mitigate potential risks to the Company.

You will apply your risk management skills to the company's assessment and implementation of new and updated laws and regulations in partnership with compliance, legal and line of business professionals. You will also ensure ongoing regulatory applicability compliance within business processes to controls. In doing so, you will be responsible for investigating business practices, communicating impacts to business partners, and driving implementation of necessary changes in processes and controls. You will develop and support best-in-class industry risk solutions in a manner that supports innovation and protects our customers, shareholders and associates. Your contributions will drive organizational change through risk identification, measurement, analysis and reporting in order to better manage the company's risk in an open and collaborative environment.

The preferred candidate in the Enterprise Services Risk can demonstrate developing innovative solutions to nuanced risk problems, is comfortable prioritizing, and is or will be able to develop working knowledge of regulations and control expectations.

  • Assist manager with the Regulatory Change process for the assigned Enterprise Services businesses
  • Work within the team to track, coordinate, and report on a high volume of regulatory changes
  • Review and assess changes in laws and regulations for impacts to the ES businesses
  • Investigate business practices and communicate regulatory impacts to business partners
  • Drive implementation of changes in process and controls necessary to ensure compliance with changes in laws and regulations
  • Active participant in process and control reviews as it relates to regulatory applicability
  • Develop and leverage key relationships with stakeholders that enable collaboration across the enterprise on new laws and recurring process and control reviews
  • Track and stay apprised of the changing regulatory environment
  • Prepare monthly and quarterly reporting

Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 3 years of experience in legal, compliance, regulatory compliance, audit, or risk
  • At least 2 years of experience supporting, partnering, and interacting with internal business clients
  • At least 1 year of project management experience

Preferred Qualifications:
  • Background in risk or compliance for external affairs, ventures, and privacy law
  • Strong communication skills, including an ability to effectively explain legal and compliance requirements to a non-legal audience
  • Ability to influence business partners to prioritize risk management work
  • Adaptable to the changing circumstances of a fast-paced technology company
  • Experience in controls development, controls management, and reporting activities
  • Strong data analysis and analytical abilities

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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