Description
We are seeking a Compliance Tester II to join our team. As a Compliance Senior Associate, you will execute compliance reviews based on the line of business and the regulatory risks that business faces. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent monitoring for the lines of business against Capital One's risk management framework.
Responsibilities:
- Demonstrate an understanding of business processes and related regulatory and compliance standards
- Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners
- Manage schedules to ensure all results are completed within established timeframes and documented within systems of record
- May assist with the execution of assessment plans by continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas
- Establish and maintain strong relationships with Compliance Advisors and Business Areas
- Support Compliance audit and exams as needed
- Demonstrate strong problem-solving and conceptual skills
- Demonstrate strong written and verbal communication skills, especially when relaying technical information and data to non-technical stakeholders
- Exercise professional skepticism and judgement
Basic Qualifications:
- High School Diploma, GED or equivalent certification
- At least 2 years of experience in audit, compliance, risk management, control or transaction reviews
Preferred Qualifications:
- Bachelor's Degree
- Proficiency with Google G-Suite and Reveal
- 3+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience
- 2+ years of experience analyzing data from various sources and making recommendations based on data
- Working knowledge of technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)
- Basic understanding of data schemas or data structure and experience engaging with data analytics teams to help drive innovative testing approaches
- Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts
Salary:
- Chicago, IL: $87,700 - $100,100 for Compliance Tester II
- Jericho, NY: $105,300 - $120,100 for Compliance Tester II
- McLean, VA: $96,500 - $110,100 for Compliance Tester II
- Plano, TX: $87,700 - $100,100 for Compliance Tester II
- Richmond, VA: $87,700 - $100,100 for Compliance Tester II