Capital One Compliance Transaction Tester - Senior Associate 

United States, Virginia, Arlington 

737357187

Center 1 (19052), United States of America, McLean, Virginia Compliance Transaction Tester - Senior 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, conducting testing, and drawing conclusions based on critical thinking, judgment and analysis. The role requires the ability to work cross-functionally with 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):

• Execute targeted, moderately complex transaction testing for line of business compliance requirements

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

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

• Obtain and analyze data from multiple sources, support and initiate efforts to improve data sourcing, and help drive innovative ways to approach testing

• Explore and quickly grasp new technologies and analysis tools

• Assist with determining test design and scope and identifying high risk areas to target

• Establish and maintain strong relationships with Business Areas and Compliance Advisors

• Assist in communicating results to Business Areas, Compliance Advisors, and Compliance Officers

• 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

• Succinctly and clearly communicate complex fact patterns to others

• Demonstrate strong problem-solving and conceptual skills

• Demonstrate strong written and verbal communication skills

• Exercise professional skepticism and judgment

Basic Qualifications:

• High School Diploma, GED or equivalent certification

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

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

• At least 1 year of data analysis experience

• At least 1 year of experience supporting, partnering and interacting with internal business clients

Preferred Qualifications:

• Bachelor's Degree

• 3+ years of financial services consumer compliance monitoring experience

• Certified Regulatory Compliance Manager (CRCM) accreditation

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.