Principal Associate, Office of Corporate Investigations - Corporate Integrity

Capital One

At Capital One, we are expanding our Office of Corporate Investigations (OCI) team, within Corporate Integrity, to attract innovative, collaborative, and highly skilled talent that will uphold and ensure integrity and ethical conduct are the foundation of our company's culture.

As a Principal Associate in the Office of Corporate Investigations, you will be responsible for leading comprehensive investigations into alleged insider abuse, unethical conduct, and/or improper business practices. You will conduct timely, fact-based investigations, adhering to regulatory compliance filing deadlines, and ensuring detailed case information is promptly provided and escalated to management and partners which impact disciplinary, operational, and compliance decisions.

Key Responsibilities include:

• Lead complex and objective investigations of alleged unlawful or unethical activity and policy violations

• Conduct professional, sensitive, interviews of associates and contractors

• Develop and execute comprehensive investigation plans

• Maintain well organized case files, authoring detailed, fact-based reports in active voice

• Effectively manage and prioritize a dynamic workload of multiple investigations in a fast paced working environment while sustaining strong collaborative relations with various partners

• Identify potential systemic breakdowns, process or control gaps, and emerging risks based upon investigative findings and available data, recommending remediation as needed

• Cultivate and foster strong partnerships with key investigative partners and stakeholders

• Ensure strict confidentiality is maintained throughout all investigative processes

The ideal candidate should:

• Communicate effectively, both verbally and in writing, across all levels, ensuring all conclusions are concise, well-supported by evidence and data, and clearly articulated

• Tactfully deliver difficult messages/decisions and provide clear context while preserving strong relationships

• Understand and proactively address customer needs, clarify requirements and establish a feedback loop for continuous improvement

• Take initiative to drive awareness, build buy-in, and solicit input for programs

• Be intellectually curious, professional, confident, and able to navigate and influence decisions effectively

• Demonstrate strong attention to detail, execute core responsibilities autonomously, take ownership of their work, and quickly adapt to new skills and opportunities beyond core role

• Leverage data and experience to make sound decisions, knowing when and how to escalate, and drive results in ambiguous circumstances

• Seek, accept, and implement feedback, modeling expected team behavior

• Consistently deliver high-quality work, proactively manage deadlines, independently navigate process roadblocks, and appropriately escalate risks

• Build relationships and leverage partnerships across teams (internal and external) to collaboratively drive work forward

• Prioritize team needs and be a subject matter expert, trusted to help others get up to speed in area of responsibility

• Proactively identify problems, obstacles, and gaps with strong attention to detail

• Suggest opportunities and solutions, developing the ability to assess 'big picture' impacts

• Model integrity, trust, and ethical standards

• Thrive in a fast-paced environment as an individual contributor, and foster collaboration with others

• Have a passion for investigations and the detection of unethical or fraudulent conduct and how it protects organizations and enables accountability

Basic Qualifications:

• Bachelor's degree or military experience

• At least 3 years experience conducting internal investigations or financial investigations
  

Preferred Qualifications:

• Relevant advanced degree such as a JD, MBA, or Master's Degree focused in criminology or criminal justice

• 4+ years experience conducting internal investigations or financial investigations

• Wicklander-Zulawski Certification in interviewing methods or equivalent

• Experience preparing and reviewing FinCEN Suspicious Activity Reports (SARs)

• Certified Financial Crimes Investigator (CFCI), Certified Fraud Examiner (CFE), or Certified Anti-Money Laundering Specialists (CAMS)

• Experience with and knowledge of the financial services regulatory environment

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

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

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

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 RecruitingAccommodation@capitalone.com. 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 Careers@capitalone.com

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).