Principal Risk Specialist, Compliance Governance Analyst

Overview

Principal Risk Specialist, Compliance Governance Analyst

The Compliance Governance, Oversight and Validation (CGOV) team within Compliance & Ethics is seeking a collaborative, analytically-focused risk management professional to support our well-managed governance processes and protocols. This role is ideal for an individual who is adaptable to change, who embraces bold ideas and who is intellectually curious; and who is proficient in utilizing Google Suite, AI tools, and advanced risk methodologies to drive organizational effectiveness and maintain business integrity.

You will work closely with cross-functional teams to carry out key governance activities, collect and analyze data, and implement meaningful process improvements. This position offers the opportunity to serve as a strategic partner to senior leaders by tracking audit commitments, assessing risks, and serving as an ambassador for innovative, AI-driven workflows. This role requires highly motivated Risk Management professionals with excellent organizational and communication skills. 

General Responsibilities may include but are not limited to:

• Coordinate Compliance Processes and Governance: Develop, coordinate, and mature internal processes and program governance, ensuring the efficiency and sustainability of key programs and initiatives.  Monitor day-to-day CGOV operations to ensure adherence to standards, while proactively identifying and implementing process improvements and redesign initiatives.

• Establish and Manage Engagement Structures: Set up and maintain milestone meetings, folder organization, communication channels, and meeting minutes to ensure effective collaboration and communication.  Create meeting templates, coordinate template distribution, manage content inputs, and provide meeting facilitation support.

• Resolve Impediments and Support Compliance Organizational Priorities: Resolve or escalate impediments to deliver on top priorities in a timely and efficient manner, and assist in managing key deliverables across various initiatives.

• Audit/Exam Support: Assist with Compliance related audits and exams, engage in pre-planning, prepare and distribute status reports, track requests, timelines, milestones, and progress for key stakeholders. Design, implement and monitor relevant audit/exam remediation activities. 

• Dashboard Governance: Manage intake requests for new or decommissioned Compliance dashboards; create and monitor new dashboards.

• Facilitate Reporting and Analytics: Support the gathering of insights and data, prepare written reports, and deliver oral presentations on identified issues and recommended remediation actions. Perform end-to-end outcome analysis, including the creation of relevant reporting updates to help leadership understand risk implications.

• Stakeholder Communication & Change Management: Communicate the results of assessments, process outcomes, and issue management to ensure leadership remains informed on Compliance priorities and impactful change.

• Documentation: Support C&E Policies, Standards and Procedures (PSP) governance and create and maintain job aids to memorialize relevant processes and protocols.

• Information Management and Business Continuity: Provide support to Business Area Information Management (BAIM) and Business Continuity Planning, including managing access requests and maintaining governance for departmental records.

• Tool Advocacy: Leverage and integrate AI tools—such as Gemini, Google Workspace, and NotebookLM—into daily workflows and serve as an ambassador to demonstrate their value to others.

• Monitoring & Quality Assurance: Design, implement and execute monitoring and quality assurance activities as needed to ensure consistency with expectation outlined in the Compliance Management Program. 

• Collaboration: Participate in cross-functional project teams to provide input and partner with groups across the organization on larger strategic initiatives.

Ideal Candidates:

• Are critical thinkers who seek to understand the business, regulatory, process, risk and control environment

• Foster an environment that promotes trust and belonging

• Possess a relentless focus on quality and timeliness

• Develop collaborative relationships within and outside of immediate team, based upon shared objectives

• Do the right thing and lead by example

• Communicate in a clear and compelling way to influence individuals at all levels

Basic Qualifications:

• High school diploma, GED, or equivalent certification

• At least 4 years of Compliance, Audit, or Risk Management experience

• At least 2 years of Financial Services experience

• At least 2 years of experience using Google Suite

Preferred Qualifications:

• Bachelor’s Degree or Military experience

• At least 3 years of experience in Project Management, Process Management, or Relationship Management

• Process Management, Project Management or Risk Management Certification

• Proficient in use of query and data visualization tools (Tableau)

• Experience using AI tools (Gemini, Workspace Studio, Gemini Notebook, etc.)

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.

McLean, VA: $120,800 - $137,900 for Principal Risk Specialist

Richmond, VA: $109,900 - $125,400 for Principal Risk Specialist

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.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

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.

This role is expected to accept applications for a minimum of 5 business days.

No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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 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

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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).