Capital One Principal Associate Compliance Tester 

United States, Virginia, Arlington 

214935463

Principal Associate, Compliance Tester

The Principal Associate Compliance Code Tester/Data Analyst performs a key second line of defense role, to help ensure models, code and associated processes comply with applicable laws andregulations.

The Principal Associate Compliance Code Tester/Data Analyst will support lines of business by:

• Testing adherence to business regulatory requirements;

• Testing risk based compliance transactions and control testing;

• Managing compliance to appropriate testing document retention guidelines

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

• Under the leadership of a team leader, executing targeted, complex transaction testing and control testing for line of business compliance requirements in alignment with team, CCR and ICTT methodology and procedures.

• Suggesting changes to testing and performing high risk testing as needed.

• Developing test plans, while continually validating and improving test design.

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

• Obtaining and analyzing test data from multiple sources and systemically documenting the work and results by following documented test plans, testing protocols and leveraging job aids as needed.

• Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sources.

• Reviewing transaction and control tests executed by peers for accuracy and adherence to test procedures

• Submitting test results in the system of record.

• Systematically retain documents that substantiate test results.

• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas.

• Supporting Compliance audit and exams as needed.

• Exercise professional skepticism and judgement

Basic Qualifications:

• High School Diploma, GED or equivalent

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

• At least 2 years of experience working in financial services, Financial Technology or Information Technology

Preferred Qualifications:

• Bachelor's degree

• 4+ years of experience in financial services in compliance, risk management, legal or audit.

• 3+ years of experience analyzing data from various sources, drawing data informed conclusions or making data drivenrecommendations

• Experience implementing technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)

• Working knowledge of basic statistics

• Basic understanding of data schemas or cloud data structure and experience engaging with data analytics teams to help drive innovative testing approaches

• Working knowledge of Excel for Analysts, SQL, and cloud data

• Experience creating test scripts using SQL, Python to test full populations for key attributes

• Proficiency with Google G-Suite & Reveal

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