Capital One Sr Associate Compliance Tester II 

United States, Louisiana, New Orleans 

190392396

Place St Charles (37701), United States of America, New Orleans, Louisiana Sr. Associate, Compliance Tester II

Job Description:

The Compliance Tester II (Senior Associate) performs a key second line of defense role, to help ensure regulatory requirements are met across all applicable lines of business supporting the Commercial Banking Testing Teams. The Compliance Tester II will execute risk-based compliance transaction testing and control testing under the leadership of a team leader, for the purpose of independently determining compliance with Commercial Bank and Corporate Functions laws and regulations, including but not limited to the Flood Disaster Protection Act (FDPA), Executive Order, Diversity and Inclusion (D&I), Family and Medical Leave Act (FMLA), Overtime, Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Securities and Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA) Rules.

Responsibilities will include, but not limited to:

• Under the leadership of a team leader, executing targeted transactions or control testing for applicable compliance requirements.

• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes.

• Analyzing data from multiple sources and systematically documenting the work and results.

• Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.

• Establishing and maintaining strong relationships with Compliance Advisors and Lines of Business, as needed.

• Assisting in communicating results to Compliance Officers and Lines of Business, as needed.

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 2 years of experience testing or monitoring in a compliance department, compliance advisory, or audit

Preferred Qualifications:

• Bachelor's degree in Audit, Accounting, Finance, Economics, Information Systems or Business Administration

• 3+ years of experience testing or compliance monitoring

• 3+ years of experience as a compliance advisor in a compliance department

• Proficient in Google Suite (Sheets) or Microsoft Office (Excel)

• Proficient in Jira

• Strong problem-solving and conceptual thinking skills

• Strong communication skills

New York City (Hybrid On-Site): $99,500 - $113,600 for Compliance Tester IIThis role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

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