Compliance Tester III

Compliance Tester III The Compliance Complaints Team within the Compliance organization is seeking an experienced Principal Associate who will be responsible for executing compliance testing and reviews. The Principal Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. This role will have the opportunity to work with a variety of teams across Capital One. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both 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 Under the leadership of a team leader, executes targeted reviews and testing for both enterprise wide operating standards and consumer compliance requirements Manages testing schedules to ensure all tasks and reporting are completed within established timeframes Analyzes data from multiple sources and systematically documents the work and results Reviews tests executed by peers for accuracy and adherence to test procedures Establishes and maintains strong relationships with Business Areas and Compliance Advisors Assists in communicating results to Accountable Executives and Compliance Officers, as needed Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure Leverages critical thinking and expertise to anticipate and identify issues Basic Qualifications High School Diploma, GED or equivalent certification At least 2 years of experience working in financial services At least 2 years of experience working in Compliance, Legal, Risk, Complaints or Escalations Preferred Qualifications Bachelors Degree 3+ years of financial services consumer compliance monitoring or quality assurance experience 3+ years complaint handling experience At this time, Capital One will not sponsor a new applicant for employment authorization for this position. Salaries McLean, VA: $120,800 - $137,900 Plano, TX: $109,900 - $125,400 Richmond, VA: $109,900 - $125,400 Riverwoods, IL: $109,900 - $125,400 This 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. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state and local laws and regulations regarding criminal background inquiries. Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site. Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. #J-18808-Ljbffr Capital One National Association