Capital One Compliance Tester III Principal Associate 

United States, Virginia, Arlington 

768919411

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

The US Card Compliance team is seeking an experienced Principal Associate who will be responsible for leading and executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently assessing business line adherence to applicable laws, regulations, and guidance. A successful candidate enjoys developing a deep understanding of regulatory requirements, designing and conducting testing, and drawing conclusions based on critical thinking, judgment, and analysis to assess compliance. The role requires the ability to work cross-functionally and develop/maintain strong relationships with partner teams and the ability to work autonomously. In addition, this role requires great attention to detail, excellent verbal and written communication skills, and the ability to succinctly and clearly communicate complex fact patterns to others.

Responsibilities will include, but may not be limited to:

• Executing targeted, complex testing for line of business compliance requirements in alignment with team and program methodology

• Demonstrating an understanding of business processes, control frameworks, and related regulatory and compliance standards

• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes and documented within systems of record

• Systematically retaining documents that substantiate test results

• Reviewing tests executed by colleagues for accuracy and adherence to test plan and procedures

• Developing and executing test plans, continually validating and improving existing design while also identifying new opportunities to execute tests in high risk areas

• Requesting and analyzing data; supporting and initiating efforts to improve data sourcing and driving innovation with business partners and IT support teams

• Demonstrating the ability to explore and quickly grasp new technologies to progress team initiatives

• Communicating results to Compliance Officers, Compliance Advisors, Legal, and Business Area Partners

• Demonstrating strong time management, organizational, and prioritization skills; completing multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

• Exhibiting strong problem-solving and conceptual thinking skills

Basic Qualifications:

• High School Diploma, GED or equivalent certification

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

• At least 3 years of experience in compliance testing, risk management, compliance monitoring, quality assurance, control review or audit

Preferred Qualifications:

• Bachelor’s degree
• 3+ years of financial services consumer compliance monitoring, auditing, risk management or compliance experience
• 2+ years of experience analyzing data from various sources and making recommendations based on data
• Experience implementing technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language processing)
• Certified Regulatory Compliance Manager (CRCM) accreditation
• Proficiency with Excel

. 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.