Principal Associate, Compliance Advisory (R144817)
The Compliance Privacy Advisor, Principal Associate performs a key risk management role to ensure business lines and corporate initiatives comply with applicable federal and state Privacy laws and regulations. The Compliance Privacy Advisor will apply risk, process management, and analytical skills to drive actions in support of privacy risk objectives for the Compliance department and impacted business lines. The Compliance Privacy Advisor is responsible for delivering quality results and providing sound compliance advice to business lines as a subject matter expert. A successful Compliance Privacy Advisor is a highly motivated, forward thinking self-starter who can work autonomously, is quick to adapt, technologically adept, a problem solver, and an adaptive learner.
Closely follow emerging privacy trends across the country and internationally, including the development of new privacy laws. Identify trends in data and advise on identified current and emerging privacy risks;
Maintain subject matter expertise of applicable privacy laws and regulations such as GDPR, UK DPA, FCRA, FACTA, TCPA, TSR, CAN-SPAM, GLBA, PIPEDA, FFIEC guidance, CCPA, and CA SB1;
Works with Capital One’s Data Security Event team to provide oversight of the privacy incident breach response process;
Provide effective challenge and guidance on privacy risks and support business lines through various interactions and forum engagements;
Advise business lines on application of privacy requirements, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or regulation;
Supports and provides oversight of Capital One’s Red Flag Program;
Support and, as necessary, participate in evaluation of business line initiatives and processes from a privacy risk perspective;
Assist business lines in developing and maintaining the Compliance Management Program (i.e. how to monitor, report, and train);
Actively participate on complex projects by providing guidance, advice, and effective challenge;
Active involvement with privacy compliance testing and third party compliance;
Review privacy-related complaints generated from business lines and provide guidance on remediation; escalate and consult with subject matter experts, when necessary;
Evaluate Internal Audit, Regulatory Exam, and self-identified privacy issues and events for compliance impacts;
Assist in capturing, maintaining, and analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management;
Participate in reporting activities used by Senior Leadership; and
Travel to various Capital One locations as necessary.
The ideal candidate will possess:
Clear results orientation and focus on achieving both short and long term goals;
A proven track record of supporting and working across business lines and functions and with a senior management team;
Ability to navigate “white space” or ambiguous situations to drive and execute an agenda in a fluid environment;
Solid teamwork skills; ability to build and leverage the capabilities of a high-performing team;
Highly developed interpersonal, presentation, and communications skills (written and oral) coupled with strategic influencing skills and the ability to drive agreement through intellect, interpersonal, and negotiation skills;
Strong judgment, influencing skills, integrity, and discretion in handling highly sensitive issues;
Ability to effectively challenge first line of defense risk taking, risk assessments, and risk mitigation efforts;
Successful track record of thriving in both a highly regulated industry and a fast paced, entrepreneurial, and dynamic environment;
Strong project management, process management, and organizational skills;
A collaborative, energetic, solution-oriented, and innovative leadership style;
Ability to balance operating independently with appropriate escalation and interaction with senior leadership;
Willingness to work as a team player and interact with associates across functions, departments, and job levels, both inside and outside the Compliance Department; and
Understanding of key regulatory and audit requirements and three lines of defense risk management framework.
Bachelor’s degree or military experience
At least 2 years of compliance, risk management, legal, regulatory examiner, or audit experience
At least 3 years of experience working with internal business customers
Master’s or Juris doctor degree
4 years of compliance, risk management, legal, regulatory examiner, or audit experience
CIPP (Certified International Privacy Professional) certification, or CRCM (Certified Regulatory Compliance Manager) certification, or ACAMS (Association of Certified Anti-Money Laundering Specialists) certification, or CISSP (certified information systems security professional), or CISM (certified information security manager).
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.
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