11 days old

Ethics & Investigations Associate - Operational & Compliance Risk

Capital One
McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, were 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.

Ethics & Investigations Associate - Operational & Compliance Risk

As a Principal Associate in Ethics and Investigations (E&I), you will be responsible for conducting comprehensive investigations of alleged internal fraud, insider threats, and unethical business practices.  Key priorities for this position include conducting fact-based investigations in a thoughtful and timely manner, meeting regulatory compliance filing deadlines, and providing and escalating detailed information to management and partners to make important employee, operations, and compliance decisions. 

Specifically, your responsibilities will include:

  • conduct complex investigations of alleged unlawful activity and violations of company policies in an efficient, thorough, and professional manner;

  • prioritize multiple investigative tasks and responsibilities in a fast-paced environment, while maintaining positive collaborative relations with various partners;

  • prepare and implement investigation plans;

  • author detailed fact-based reports and maintain well-organized and accurate case files;

  • conduct professional investigative interviews of associates and others, often involving sensitive subjects;

  • maintain strict discretion and confidentiality;

  • identify trends, emerging risks, and insights regarding internal fraud and ethics investigations; and 

  • build and maintain effective working relationships with law enforcement agencies as well as counterparts in the industry.

Candidate Profile:

The ideal candidate will possess deep knowledge of generally-accepted investigative standards and techniques used in the investigation of financial and other white-collar crimes.  A successful candidate will be able to work independently, have excellent written and oral communication skills, exercise good judgment, be an active listener, and serve as a collaborative team member.  Candidates must be self-motivated, demonstrate flexibility in responding to changes in assignments and job responsibilities, and have the ability to maintain positive working relationships with business partners across the company.  Finally, candidates must be able to comply with all organizational and professional ethical standards.

Basic Qualifications: 

  • Bachelors degree or Military experience
  • At least 3 years of experience conducting investigations in a corporate environment

  • At least 3 years of experience conducting investigation of financial white-collar crimes

Preferred Qualifications: 

  • At least 5 years of experience conducting investigations involving financial and white-collar crimes;

  • Reid Interviewing Method certification or similar method of interviewing techniques;

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

  • Certified Protection Professional (CPP) and/or Certified Fraud Examiner (CFE) or host-nation equivalent; and

  • 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.


Posted: 2019-08-07 Expires: 2019-09-06

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Ethics & Investigations Associate - Operational & Compliance Risk

Capital One

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