Capital One Senior Associate Compliance Tester II 

United States, Virginia, Arlington 

840247743

Center 2 (19050), United States of America, McLean, Virginia Senior Associate, Compliance Tester II

Job Description:

The Compliance Tester II (Senior Associate) performs a key second line of defense role, to help ensure Dodd-Frank regulatory requirements are met across all applicable lines of business specifically within the Swap Dealer Commercial Compliance Testing team. The Compliance Tester II will execute risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating Swap Dealer activities and determining compliance with applicable laws and regulations – Commodity Exchange Act (CEA) and related Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) regulations.

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

- Under the leadership of a team leader, executing targeted transaction or control testing for applicable Dodd-Frank 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.

- Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.

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

Basic Qualifications:

- High School Diploma, GED or equivalent certification

- At least 2 years of experience testing or monitoring in a compliance department for an institutional broker dealer, or at least 2 years of experience as a swap dealer, or at least 2 years of experience performing a compliance advisory role.

Preferred Qualifications:

- 3+ years of experience in compliance testing or monitoring

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

- 3+ years of experience with Net Foreign Assets (NFA), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), or U.S. Securities and Exchange Commission (SEC)

- Proficient knowledge of swaps such as interest rate, foreign exchange or commodities and derivatives or futures

- Proficient knowledge of the Capital Expenditure Authorization (CEA), Title VII of the Dodd-Frank Act and CFTC swap regulations

New York City (Hybrid On-Site): $99,500 - $113,600 for Compliance Tester IIThis 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.

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.