Principal Associate, Office of Corporate Investigations - Corporate Integrity

Principal Associate, Office of Corporate Investigations - Corporate Integrity

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

• 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

• Bachelor's degree or military experience
• At least 3 years experience conducting internal investigations or financial investigations

• 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