Compliance Advisor – Principal Associate

Capital One

. Assess regulatory alignment of logic in computer code and script reviews for the Code Design Intent Review (CoDIR) process .

Posted 11/2/2026full-timeUnited StatesJuniorMid-Level💰 $109,900 - $137,900 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance, risk management, and script evaluation, with a strong ability to collaborate across teams and effectively communicate compliance requirements. Proven track record in navigating complex regulatory environments and developing processes to mitigate compliance risks.

Highest-signal resume keywords

Regulatory ComplianceRisk Management FrameworkScript EvaluationInterpersonal CommunicationProcess Development

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance AssessmentRegulatory AlignmentData AnalysisModel Compliance Inherent Risk AssessmentScript GovernanceComputer Code UtilizationRegulatory Controls Validation

Soft Skills

Organizational SkillsSolution-Oriented MindsetTeamwork SkillsStrategic InfluencingNegotiation Skills

Certifications & Qualifications

Certified Anti-Money Laundering SpecialistCertified Information Privacy ProfessionalSeries 7Series 24Series 63Series 65

Industry Keywords

Compliance Risk ManagementInternal AuditRegulatory ExaminersThree Lines of DefenseFast-Paced Environments

About the role

Key responsibilities & impact

Assess regulatory alignment of logic in computer code and script reviews for the Code Design Intent Review (CoDIR) process
Evaluate whether scripts meet the regulatory intent they are designed to effectuate and report assessment results to script owners
Collaborate with script owners, business risk offices, and compliance partners across the enterprise
Engage with Tech and Data Risk Management to address regulatory risks within the Script Governance Standard and platform
Provide challenge and guidance on compliance risks related to scripts
Advise lines of business on applying compliance requirements to activities executed through computer code and scripts
Assist with assessments of regulatory risk associated with models through the Model Compliance Inherent Risk Assessment (MoCIRA)
Identify trends in data and advise on emerging risks
Maintain subject matter expertise in applicable laws, regulations, and the Compliance Risk Management Framework
Respond to Internal Audit and Regulatory Examiners regarding regulatory risk from scripts
Conduct targeted validations and reviews of scripts implementing regulatory controls
Capture, maintain, and analyze compliance data to ensure consistency and adequate Compliance Risk Management

Requirements

What you’ll need

Bachelor’s Degree
At least 2 years of experience in compliance, legal, or audit
At least 2 years of experience supporting, partnering, and interacting with internal business clients
Strong organizational skills and results orientation
Ability to navigate ambiguous situations and manage competing priorities
Collaborative, solution-oriented mindset and solid teamwork skills
Highly developed interpersonal, presentation, written and oral communication, strategic influencing, and negotiation skills
Ability to effectively challenge the first line of defense respectfully
Successful track record in highly regulated, fast-paced, entrepreneurial, and dynamic environments
Ability to balance independent work with escalation and senior leadership interaction
Understanding of key regulatory and audit requirements and three lines of defense risk management framework
Ability to develop new processes and procedures with little direction
Strong knowledge of using computer code and scripts to drive business processes
Preferred: Master’s Degree or Law Degree
Preferred: 4+ years of experience in compliance, legal, or audit
Preferred certifications: Certified Anti-Money Laundering Specialist, Certified Information Privacy Professional, Series 7, Series 24, Series 63, or Series 65
Capital One will not sponsor a new applicant for employment authorization for this position

Benefits

Comp & perks

Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Comprehensive, competitive, and inclusive health, financial and other benefits supporting total well-being
Equal opportunity employer committed to non-discrimination
Reasonable accommodation support