Principal Associate- Ethics Office

Capital One
McLean, Virginia
Nov 18, 2021
Dec 08, 2021
Full Time
Center 2 (19050), United States of America, McLean, 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 Conflict of Interest (COI) Specialist in the Ethics Office, you will be responsible for conducting comprehensive and complex COI analyses involving associate disclosures related to outside activities involving personal financial investments, board positions, secondary employment, among others. You will also support Ethics Office program initiatives involving awareness and outreach. Specific responsibilities include:
  • Conducting an initial assessment, fact-finding, and interviews to support analysis and resolution of COI disclosures from current employees and job candidates;
  • Providing oral and written briefings for senior leadership, up to and including the Chief Ethics Officer, that are thoughtful, thorough, and concise;
  • Supporting the development of enterprise-wide certifications to promote disclosure of potential conflicts and programs to monitor adherence to conditions designed to mitigate conflicts;
  • Implementing case management best practices and technological solutions to gain efficiencies and scale the COI Disclosure program;
  • Assisting with program awareness and outreach efforts such as administering the Code of Conduct, drafting related training and awareness campaigns, benchmarking, and further building of the Ethics program;
  • 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;
  • Supporting the development and presentation of key metrics for Ethics Program reporting; 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 works collaboratively as part of a team, is an active listener and critical thinker, possesses excellent written and oral communication skills, and has experience spotting issues and proactively identifying thoughtful, well-reasoned solutions. This individual is self-motivated, flexible in responding to changes in assignments and job responsibilities, and maintains positive working relationships with business partners. Finally, this individual must be dedicated to complying with all organizational and professional ethical standards.

Basic Qualifications:
  • Bachelor's Degree or Military Experience
  • At least 5 years of experience in Corporate Ethics, or Government Regulatory Enforcement, or Risk Management, or Compliance programs

Preferred Qualifications:
  • Juris Doctorate Degree
  • At least 3 years of experience working in financial services;
  • At least 1 year of experience analyzing conflicts of interest;
  • Experience with ethics and compliance initiatives such as fostering an ethical culture and external benchmarking;
  • Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives;
  • Experience with Ethics programming and helplines or other investigation case management systems;
  • Certified Compliance and Ethics Professional (CCEP).
  • Experience with program management, change management, or maintenance of program governance documents;
  • Proficiency in the Google Suite - Google Docs, Slides, Sheets, Keep or Microsoft equivalent
  • Excellent written and verbal communication skills.

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

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).

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