Capital One Principal Associate Compliance Tester 

United States, Virginia, Arlington 

286361747

Center 1 (19052), United States of America, McLean, Virginia Principal Associate Compliance Tester

The Principal Corporate Compliance Tester performs a key second line of defense role, to help ensure regulatory requirements are met across the enterprise and applicable lines of business. The Anti-Money Laundering (AML) Tester will execute complex risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating adherence to applicable AML laws regulations, including but not limited to the Bank Secrecy Act (BSA), USA PATRIOT ACT, and Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA), etc.

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 ICTT 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 executed by peers for accuracy and adherence to test procedures

• Submitting test results in PRIME

• Systematically retain documents that substantiate test results

• 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, compliance monitoring, quality assurance, audit, AML investigation or fraud Investigation experience

Preferred Qualifications:

• Bachelor’s degree

• Knowledge of both US and Canadian laws and regulations as they relate to AML and Sanctions

• Knowledge of Suspicious Activity Report (SAR), Currency Transaction Report (CTR) or Suspicious Transaction Reports (STRs) filing requirements

• Association of Certified Anti-Money Laundering Specialists (ACAMS), Certified Fraud Examiner (CFE) or Certified Financial Crime Specialists (CFCS) certification

. 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.