Capital One Associate Compliance Tester 

United States, Texas, Plano 

401078546

Associate, Compliance Tester

The Corporate Compliance team is seeking an Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable Laws, Regulations, and Guidance. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously.

Responsibilities will include (but may not be limited to):

• Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements.

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

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

• Develop new ways to test large populations of data

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

• Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives

• Assisting in communicating results to Compliance Officers, as needed.

Basic Qualifications:

• High School Diploma, GED or equivalent certification

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

• At least 1 year of experience in compliance testing, compliance monitoring, quality assurance, control review or audit

Preferred Qualifications:

• Bachelor’s degree in Accounting, Finance or Business Administration

• 2+ years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit

• Strong problem-solving and conceptual thinking skills

• Strong communication skills

• Working knowledge of cloud data structure (Snowflake)

• Scripting experience in Python or SQL

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

• Experience creating test scripts using SQL or Python to test full populations for key attributes

Plano, TX: $72,800 - $83,100 for Compliance Tester IThis 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.