Capital One Compliance Transaction Tester – Retail Bank 

United States, Delaware, Wilmington 

692677828

802 Delaware Avenue (18052), United States of America, Wilmington, Delaware Compliance Transaction Tester – Retail Bank

Responsibilities:

• Guided by team leadership, execute targeted, moderately complex transaction testing for line of business compliance requirements.

• Manage assigned testing timelines 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

• Help drive innovative ways to approach testing.

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

• 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 test results with a high level of accuracy

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

• Submit test results in the system of record

• Communicate results to Advisors, Business Areas, and Compliance Officers, 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 4 years of experience working in the financial services industry

• At least 2 years of experience in audit, compliance, risk management, control or transaction reviews

• At least 2 years of experience with Microsoft Office or Google Suite

Preferred Qualifications:

• Bachelor’s Degree

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

• Certified Regulatory Compliance Manager (CRCM) accreditation

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

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

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

• Basic understanding of data schemas or cloud data structure to help drive innovative testing approaches

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.