Capital One Compliance Tester III Principal Associate 

United States, Virginia, Arlington 

730141672

Compliance Tester III, Principal Associate

Job Description:

Responsibilities will include:

• Under the leadership of a team leader, execute targeted transaction or control testing for applicable regulatory requirements.

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

• Analyze data from multiple sources and systematically document the work and results.

• Support management and review transaction and control tests executed by peers for accuracy and adherence to testing methodology.

• Participate in Annual Planning.

• Establish and maintain strong relationships with Compliance Advisors and Business areas as needed.

• Assist in communicating results to Compliance Officers, Advisors and Business areas, as needed.

Basic Qualifications:

• High school diploma, GED, or equivalent certification

• At least 3 years of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer, or at least 3 years of experience performing a compliance advisory role, or at least 3 years of experience at a regulator.

Preferred Qualifications:

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

• 4+ years of experience testing or monitoring

• 4+ years of experience as a compliance advisor in a compliance department for an institutional broker dealer or swap dealer

• 4+ years of experience with NFA, FINRA SEC or CFTC

• Proficient knowledge of swaps (interest rate, or foreign exchange, or commodities), or derivatives or futures

• Proficient knowledge of CFTC, NFA, SEC, FINRA, and FDPA regulations.

*At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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.