Capital One Senior Compliance Testing Associate 

United States, Texas, Plano 

201880023

Plano 5 (31065), United States of America, Plano, Texas Senior Compliance Testing Associate

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 and 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 compliance testing, compliance monitoring, quality assurance, control review or audit experience

Preferred Qualifications:

• Bachelor's degree
• 3+ years of financial services consumer compliance monitoring experience or consumer compliance auditing experience
• Experience with cloud data structure (snowflake)
• Scripting experience (Python, SQL)
• Experience creating test scripts using SQL or Python to test full populations for key attributes

. 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.