Capital One Compliance Tester III – Retail Bank 

United States, New York, New York 

990046703

Compliance Tester III – Retail Bank

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

• Under the leadership of a team leader, execute targeted, complex control reviews for line of business compliance requirements to effectively challenge business controls in accordance with team, program and enterprise methodologies.

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

• Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed.

• Develop innovative ways to approach control reviews.

• Identify and implement new technologies and innovative concepts.

• Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance requirements.

• Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business areas.

• Ensure engagement with proper points of contact throughout the testing process.

• Systematically retain documents that substantiate control reviews with a high level of accuracy.

• Review deliverables executed by peers for accuracy and adherence to procedures.

• Submit control review results in the system of record.

• Communicate results to Compliance Officers, Advisors, 1st Line of Defense Testing and Business area, as needed.

• Ability to work cooperatively and effectively with supporting team members to meet departmental goals.

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

Basic Qualifications:

• High School Diploma, GED or equivalent certification

• At least 3 years of experience in audit, compliance, risk management, controls, or transaction reviews

• At least 5 years of experience in Financial Services

Preferred Qualifications:

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

• 6+ years of experience in financial services monitoring, auditing, risk management, or compliance experience

• Certified Regulatory Compliance Manager (CRCM) accreditation, Fair Credit Reporting Act (FCRA) for Data Furnishers, Certified Information Privacy Professional (CIPP), Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS)

• Experience analyzing test scripts using SQL/Python to test full populations

• Proficiency with Microsoft Office and Google G-Suite

• Strong communication skills

• Strong problem-solving and conceptual thinking skills

• Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence

• Basic understanding of data schemas or cloud data structure

• Experience with data analytics teams to help drive innovative testing approaches

McLean, VA: $117,300 - $133,900 for Compliance Tester III Melville, NY: $128,000 - $146,100 for Compliance Tester III New York, NY: $128,000 - $146,100 for Compliance Tester III Richmond, VA: $106,700 - $121,700 for Compliance Tester III Wilmington, DE: $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.