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Capital One Senior Associate Compliance Tester II United States, Virginia, Arlington 840247743
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Job Description:
The Compliance Tester II (Senior Associate) performs a key second line of defense role, to help ensure Dodd-Frank regulatory requirements are met across all applicable lines of business specifically within the Swap Dealer Commercial Compliance Testing team. The Compliance Tester II will execute risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating Swap Dealer activities and determining compliance with applicable laws and regulations – Commodity Exchange Act (CEA) and related Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) regulations.
Responsibilities will include (but may not be limited to):
- Under the leadership of a team leader, executing targeted transaction or control testing for applicable Dodd-Frank 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.
- Reviewing transaction tests executed by peers for accuracy and adherence to test procedures.
- Assisting in communicating results to Compliance Officers, as needed.
Basic Qualifications:
- High School Diploma, GED or equivalent certification
- At least 2 years of experience testing or monitoring in a compliance department for an institutional broker dealer, or at least 2 years of experience as a swap dealer, or at least 2 years of experience performing a compliance advisory role.
Preferred Qualifications:
- 3+ years of experience in compliance testing or monitoring
- 3+ years of experience as a compliance advisor in a compliance department for an institutional broker dealer or swap dealer
- 3+ years of experience with Net Foreign Assets (NFA), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), or U.S. Securities and Exchange Commission (SEC)
- Proficient knowledge of swaps such as interest rate, foreign exchange or commodities and derivatives or futures
- Proficient knowledge of the Capital Expenditure Authorization (CEA), Title VII of the Dodd-Frank Act and CFTC swap regulations
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.. 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.
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