Capital One Senior Associate Compliance 

United States, Texas, Plano 

612282131

Senior Associate, Compliance

The Corporate Compliance team is seeking a highly motivated and experienced Senior Associate Tester. This role is responsible for executing second-line transaction and control testing, independently validating the business’ adherence to applicable laws, regulations, and internal policies, standards, and procedures (PSPs). A successful candidate will possess a deep understanding of compliance requirements, demonstrate strong analytical skills, and use critical thinking and judgment to draw sound conclusions from monitoring and testing activities. The position requires a high degree of autonomy, excellent verbal and written communication skills, and the ability to foster cross-functional partnerships with both business and compliance advisors.

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

• Design and execute targeted transaction testing for consumer compliance requirements.

• Conduct second-line control challenges to assess design and operating effectiveness.

• Manage test schedules to ensure timely completion of all tasks and reporting.

• Analyze data from multiple sources and meticulously document work and results.

• Collaborate with data analysts to innovate new testing methodologies for large datasets.

• Perform peer reviews of transaction tests for accuracy and adherence to established procedures.

• Cultivate and maintain strong relationships with Compliance Advisors and other business partners.

• Demonstrate comprehensive knowledge of Capital One’s Compliance Management Program (CMP).

• Draft final reports for transaction testing and control reviews.

• Assist in communicating test results to lead advisors and Compliance Officers as needed.

Basic Qualifications:

• High School Diploma, GED, or equivalent certification

• At least 2 years of experience in consumer compliance testing, compliance monitoring, quality assurance, control reviews or audit experience

Preferred Qualifications:

• Bachelor’s degree

• 3+ years of financial services consumer compliance control testing, compliance monitoring, quality assurance, control review, or audit experience

• Certified Regulatory Compliance Manager (CRCM) or other compliance related accreditations

• Experience creating and delivering effective presentations

Plano, TX: $86,000 - $98,200 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.

. 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.