Capital One Compliance Tester II Senior Associate 

United States, Delaware, Wilmington 

228122674

Compliance Tester II, Senior Associate

The Compliance Tester II (Senior Associate)

Responsibilities:

• Guided by team leadership, execute targeted, moderately complex transaction testing for line of business compliance requirements.

• Manage assigned testing timelines to ensure all tasks and reporting are completed within established timeframes.

• Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed.

• Help drive innovative ways to approach testing.

• Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance standards

• Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business Areas.

• Ensure engagement with proper points of contact throughout the testing process.

• Systematically retain documents that substantiate test results with a high level of accuracy.

• Review deliverables executed by peers for accuracy and adherence to procedures.

• Submit test results in the system of record.

• Communicate results to Advisors, Business Areas, and Compliance Officers, as needed.

• Ability to work cooperatively and effectively with supporting team members to meet departmental goals.

• Maintain strong time management, organizational and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 2 years of experience in audit, or compliance, or risk management, or control or transaction reviews or at least 4 years in financial services

• At least 2 years of Microsoft Office or Google Suite experience

• Strong communication skills

Preferred Qualifications:

• Bachelor’s Degree, or Military Experience

• 3+ years of financial services monitoring, auditing, risk management, or compliance experience

• Certified Regulatory Compliance Manager (CRCM) accreditation, FCRA for Data Furnishers, Certified Information Privacy Professional (CIPP), Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS)

• Experience analyzing test scripts using SQL/Python to test full populations for key attributes

• Experience engaging with data analytics teams to help drive innovative testing approaches

• Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence

• Basic understanding of data schemas or cloud data structure to help drive innovative testing approaches

McLean, VA: $94,600 - $107,900 for Compliance Tester II Melville, NY: $103,200 - $117,800 for Compliance Tester II New Orleans, LA: $86,000 - $98,200 for Compliance Tester II Richmond, VA: $86,000 - $98,200 for Compliance Tester II Wilmington, DE: $86,000 - $98,200 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.

. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

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.