Description
The Corporate Compliance Testing team at Capital One is seeking an experienced Compliance Tester III to execute risk-based compliance transaction testing and validate business line adherence to applicable laws and regulations.
The Compliance Tester III performs a key second line of defense role, helping to ensure corporate initiatives and departmental processes comply with applicable laws and regulations.
Responsibilities include:
- Executing targeted, complex transaction testing for regulatory and line of business compliance requirements
- Conducting control reviews focused on reviewing control activities mitigating risks and requirements
- Suggesting changes to testing or performing high-risk testing as needed
- Managing testing schedules to ensure all tasks and reporting are completed within established timeframes
- Obtaining and analyzing test data from multiple sources
- 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
- Establishing and maintaining strong relationships with Compliance Advisors and Business Areas
- Demonstrating ability to explore and quickly grasp new technologies
- Assisting in communicating results to Compliance Officers and other stakeholders
Basic qualifications:
- High School Diploma, GED or equivalent certification
- At least 3 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit
Preferred qualifications:
- Bachelor's degree
- 4+ years of experience in financial services consumer compliance testing, monitoring, or auditing
- Experience creating presentations
- Experience with Excel, SQL, Teradata or Redshift
- Scripting experience in Python, Perl, JavaScript or Shell
The salary range for this role is: McLean, VA: $120,800 - $137,900 Plano, TX: $109,900 - $125,400 Richmond, VA: $109,900 - $125,400 Riverwoods, IL: $109,900 - $125,400