Principal Investigator- Ethics and Investigations

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

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.

Principal Investigator- Ethics and Investigations

Position Description for Principal Investigator


Reports To: Investigations Manager or higher

Manages: No direct-report responsibility


The role serves as a point of contact between Ethics and Investigations (E&I) and Capital One's lines of business (LOBs) / partners and conducts comprehensive investigations of alleged internal fraud and unethical business practices. He/she will provide advice and solutions to mitigate risks, which may reach across the company and require interaction with internal and external clients. He/she will be able to identify and analyze issues and gather information to determine causes and possible solutions. He/she may also partner with multiple clients through a combination of internal relationship management, applied business analysis, and project participation. The associate will influence and gain support for E&I initiatives in order to yield positive and productive business impacts. The associate will, with limited management assistance, design, develop, and execute tests to assess compliance with policies, procedures, and applicable banking laws and regulations in the conduct of investigations. He/she may partner with law enforcement representatives at the local, federal, and international levels to facilitate investigations and collaborate to promote and practice preventative initiatives. He/she typically works under general to limited supervision, with latitude for initiative and independent judgment.


Functions as a highly skilled investigator with the ability to multi-task, analyze and interpret data, and demonstrates effective decision making.

A. Size and Scope of Responsibility

  • Independently conducts low to moderately complex investigations of alleged unlawful activity and violations of company policies and procedures in an efficient, thorough, and professional manner.
  • Prioritizes multiple investigative tasks and responsibilities in a fast-paced environment, while maintaining positive collaborative relations with various partners.
  • Prepares and implements plans to conduct investigations and provides direct support to clients as needed.
  • Authors detailed professional reports and maintains well-organized and accurate incident/case files.
  • Conducts professional investigative interviews of associates and others, often involving sensitive subjects.
  • Responds to urgent issues and the situational needs and requirements of the workload and is flexible with work-hours as needed.
  • Maintains strict discretion and confidentiality.
  • Leverages his/her specialized knowledge and skills and provides management with insight into his/her area of subject-matter focus.
  • Builds and maintains effective working relationships with law enforcement agencies as well as counterparts in the industry.
  • Contributes to internal E&I project work.
  • Performs other related work as assigned.
B. Span of Control
  • Typically works independently under limited supervision, and has latitude for initiative and independent judgment. Requires low levels of guidance/supervision from manager on low to moderately complex investigations or projects.
  • May assist the Manager, Sr. Manager, Director/Sr. Director or E&I Executive in performing staff management responsibilities, including training.
C. Complexity
  • Executes low to moderately complex investigations and projects based on expertise and direction from managers. Participates in design and execution of more complex investigations and projects.
  • Demonstrates flexibility in responding to changes in assignment and job responsibility.
D. Relationship Management
  • Maintains positive and productive working relationships with LOB management, and key internal stakeholders (Human Resources, Legal, Compliance, etc.).
  • Interfaces, as necessary, with executives concerning ongoing investigations and related investigative matters.
E. Administration
  • Takes an active interest in learning about the business of Capital One.
  • Participates in strategic planning based on subject-matter expertise.
  • Plans and prioritizes own work well and manages time effectively. Works within established budgets as applicable.
  • Enters service hours into tracking system. Reports metrics as needed.
  • Writes and distributes reports to clients as needed.
F. Professional Conduct
  • Maintains all organizational and professional ethical standards.
  • Pursues professional development opportunities, including internal and external training and professional association membership, and shares information gained with co-workers.
  • May act as a development mentor to others.


A. Core Professional Knowledge
  • Demonstrates sound knowledge of generally-accepted investigative standards, principles and techniques used in the investigation of financial and white-collar crimes.
  • Demonstrates sound knowledge of generally-accepted investigative principles and techniques used in the evaluation of systems of internal controls.
  • Understands investigative standards, procedures and policies.
  • Exhibits solid relationship management skills.
  • Displays analytical and program management skills.
  • Relationship management experience with some consulting skills.
B. Specialized Knowledge & Proficiency
  • None


The skills & qualifications outlined in this job description are specific to the security job defined here. Capital One's core employment competencies are those behaviors that have been established as a company-wide standard for defining high performance and success at all job levels. To qualify for this position, the incumbent is required to successfully demonstrate the required level of proficiency in the core competencies.

A. Problem Solving/Decision Making
  • Able to identify and analyze issues and gather information to determine causes and possible solutions.
  • Exercises a moderate degree of autonomy in decision making.
B. Organization and Project Management
  • Able to effectively plan work activities to meet deadlines and coordinate with others. Demonstrates ability to plan and manage multiple small projects.
C. Teamwork
  • Able to work as part of a team to accomplish an established goal, and assist in establishing team direction. Is a cooperative, participative, and productive member of the team.
  • Contributes specific area expertise and experience to team success.
D. Verbal & Written Communication
  • Demonstrates effective verbal and proficient written communications skills, along with active listening skills.
  • Communicates effectively with external third parties including vendors, attorneys, law enforcement, etc.
  • Discerns alternative viewpoints and perspectives, and incorporates when appropriate.
E. Working Relationships
  • Maintains professional demeanor when working with others.
  • Able to establish and maintain strong working relationships to meet business results.
F. Consulting
  • Able to review and comment on corporate policies, standards and procedures and provide limited and supervised advice and counsel to department members and business units as needed.
G. Management & Supervision
  • Demonstrate self-motivation.

Basic Qualifications:
  • At least 3 years of investigative experience in a corporate environment,
  • At least 3 years of investigation experience of financial and white collar crimes
  • Bachelor's degree or military experience

Preferred Qualifications / Experience:
  • Professional certification in area of expertise. Current examples include: Certified Protection Professional (CPP), Certified Fraud Examiner (CFE) or other relevant certifications.
  • Conducting fraud investigations involving financial and white-collar crimes and contracted/third party partnerships.
  • Demonstrated proficiency using Reid Technique, Wicklander-Zulawski or similar method of interviewing techniques.
  • Work experience creating/filing Suspicious Activity Reports (SARS).

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

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