Capital One Principal Compliance Tester III - Corporate Functions 

United States, Texas, Plano 

254599969

Principal Compliance Tester III - Corporate Functions

The Compliance Tester III will support lines of business by:

• Testing adherence to regulatory requirements; and

• Managing compliance to appropriate testing the document retention guidelines

Responsibilities will include, but may not be limited to:

• Under the leadership of a team leader, executing targeted, complex transaction testing for line of business compliance requirements in alignment with team and Independent Compliance Testing Program methodology and procedures.

• Suggesting changes to testing and performing high risk testing as needed.

• Developing test plans, while continually validating and improving test design.

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

• Obtaining and analyzing test data from multiple sources and systemically documenting the work and results by following documented test plans, testing protocols and leveraging job aids as needed.

• Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sources.

• Reviewing transaction test and control reviews executed by peers for accuracy and adherence to test procedures

• Communicating test results verbally and/or in writing to stakeholders and other partners.

• Submitting test results in our Governance Risk Compliance (GRC) system.

• Systematically retain documents that substantiate test results.

• Participating in Annual Testing Calendar Planning process

• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas.

• Supporting ICTT and Compliance audit and exams as needed.

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 3 years of compliance testing, monitoring, quality assurance, or audit experience

Preferred Qualifications:

• Bachelor's Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration

• 4+ years of compliance monitoring or auditing experience

• 4+ years of experience working in financial services, specifically within accounting, audit, or compliance.

McLean, VA: $117,300 - $133,900 for Compliance Tester III Plano, TX: $106,700 - $121,700 for Compliance Tester III Richmond, VA: $106,700 - $121,700 for Compliance Tester IIIThis 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.