Compliance Tester II

About the role

The Corporate Compliance Testing team is seeking an experienced Senior Associate who will be responsible for executing risk-based compliance transaction testing for the purpose of independently validating business line adherence to applicable Laws, Regulations, and Guidance.

Responsibilities

• Executing risk-based compliance transaction testing to validate adherence to applicable Laws, Regulations, and Guidance.
• Supporting lines of business by performing various compliance-related tasks.
• Developing new ways to test large populations of data.
• Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.
• Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sources.
• Systematically retaining documents that substantiate test results.
• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.
• Assisting in communicating results to Compliance Officers and other stakeholders, as needed.

Requirements

• A High School Diploma, GED, or equivalent certification.
• At least 2 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit.
• A Bachelor's degree.
• 3+ years of financial services consumer compliance monitoring experience.
• 4+ years of consumer compliance auditing experience.
• Experience creating presentations.
• Experience with Excel, SQL, Teradata or Redshift.
• Scripting experience in Python, Perl, JavaScript or Shell.

Qualifications

• High School Diploma, GED or equivalent certification.
• At least 2 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit.
• A Bachelor's degree.
• 3+ years of financial services consumer compliance monitoring experience.
• 4+ years of consumer compliance auditing experience.
• Experience creating presentations.
• Experience with Excel, SQL, Teradata or Redshift.
• Scripting experience in Python, Perl, JavaScript or Shell.

Skills

• Ability to explore and quickly grasp new technologies to progress varied initiatives.

Benefits

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

Pay

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

• McLean, VA: $96,500 - $110,100 for Compliance Tester II

Schedule

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

Benefits

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website.

Equal Opportunity Employer

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. 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.

Contact Information

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 RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

Technical Support

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com