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Compliance Advisor- Third Party Management, Principal Associate

Location: Richmond, Virginia; McLean, Virginia
Job ID R105717 Updated date 02/01/2021
West Creek 3 (12073), United States of America, Richmond, Virginia

Compliance Advisor- Third Party Management, Principal Associate

The Third Party Management (TPM) Compliance Advisor is a motivated individual who will manage critical components of Capital One’s second line of defense third party compliance program at a time when Third Party Risk is one of the most crucial risk areas impacting a financial institution.   We have built a dynamic Third Party Management (TPM) compliance function to ensure compliance engagement, due diligence, governance and oversight is instilled in all phases of the third party management lifecycle. 

This individual will perform varied and always interesting second line compliance advisory responsibilities to support business areas and Third Party Relationship Managers including, but not limited to, compliance risk assessments (due diligence) on existing and potential third party relationships, identification of compliance risks  and providing compliance advice on laws and regulations applicable to the the third party’s service(s).   

This individual will engage with and support various business areas and many employees at different levels in the company.     


  • Provide compliance advice on third party activities and services

  • Support business areas in identifying and advising on third party compliance risks and controls for regulatory requirements

  • Conduct and write compliance evaluations and risk summaries of potential new third parties to inform business areas of compliance risk 

  • Review third parties’ compliance policies, procedures, controls, and risk management documents for compliance with laws and regulations

  • Provide guidance and effective challenge to lines of business in their engagement and management of third parties

  • Participate in and support audits and examinations

  • Leverage strong communication and teamwork skills to interact with internal Corporate Compliance teams, third party risk management groups, Enterprise Supplier Management, and other stakeholder groups across the enterprise in the execution of the Compliance TPM program

  • Provide compliance information to help support reporting requirements

  • Leverage Compliance and Third Party Management systems, including system functionality and reporting capabilities, to fulfill on role responsibilities


Ideal Candidate:

  • Ability to understand and interpret regulations to explain to, and discuss with, individuals in the first line

  • Strong problem-solving, process improvement and conceptual skills

  • Strong understanding of applicable laws and regulations

  • Strong written and verbal communication skills

  • Ability to build and maintain strong relationships

  • Strong attention to detail 

  • Negotiation and influencing skills


  • Bachelor’s degree or military experience

  • At least 2 years of experience in compliance, third party risk management, legal, audit, or risk management 

  • At least 3 years of experience working with internal business customers


  • Master’s Degree

  • At least years of experience in compliance, legal, third party risk management,  risk or audit

  • CRCM, ACAMS, CIPP, or Third Party Risk certifications, as appropriate

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.

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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).

Who We Are

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.