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Capital One Senior Associate Compliance Tester United States, Texas, Plano 743217867
The Corporate Compliance team is seeking an experienced Senior 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. In addition, this role requires great attention to detail and excellent verbal and written communication skills.
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 testing schedules 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
● Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.
● 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 compliance testing, compliance monitoring, quality assurance, control review or audit
Preferred Qualifications:
Bachelor’s degree
3+ years of financial services consumer compliance testing, compliance monitoring, quality assurance, control review or audit experience
2+ years of data analysis experience
Experience implementing technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language processing)
Certified Regulatory Compliance Manager (CRCM) accreditation
Proficiency with Excel
Experience creating presentations
Working knowledge of basic statistics
. 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.
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