Compliance Tester III

divh2Compliance Tester III/h2pThe Corporate Compliance Testing team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of a team Manager, 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 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./ppThe Compliance Tester III performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations./ppThe Compliance Tester III will support lines of business by:/pulliTesting adherence to business and regulatory requirements/liliTesting risk based compliance transactions/liliControl reviews focused on reviewing control activities mitigating risks and requirements/li/ulpResponsibilities will include (but may not be limited to):/pulliExecute targeted, complex transaction testing for regulatory and line of business compliance requirements in alignment with team and ICTT methodology and procedures/liliExecute control reviews under the CCR methodology/liliSuggest changes to testing or perform high risk testing as needed/liliManage testing schedules to ensure all tasks and reporting are completed within established timeframes/liliObtain and analyze test data from multiple sources, following documented test plans, and systematically documenting the work and results/liliDevelop new ways to test large populations of data/liliReview transaction tests executed by peers for accuracy and adherence to test procedures/liliSupport and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources/liliSystematically retain documents that substantiate test results/liliEstablish and maintain strong relationships with Compliance Advisors and Business Areas as needed/liliDemonstrate ability to explore and quickly grasp new technologies to progress varied initiatives/liliAssist in communicating results to Compliance Officers and other stakeholders, as needed/li/ulpBasic Qualifications:/pulliHigh School Diploma, GED or equivalent certification/liliAt least 3 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit/li/ulpPreferred Qualifications:/pulliBachelors degree/lili4+ years of experience in financial services consumer compliance testing, monitoring, or auditing/liliExperience creating presentations/liliExperience with Excel, SQL, Teradata or Redshift/liliScripting experience in Python, Perl, JavaScript or Shell/li/ulpAt this time, Capital One will not sponsor a new applicant for employment authorization for this position./ppThe minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked./ppMcLean, VA: $120,800 - $137,900 for Compliance Tester IIIPlano, TX: $109,900 - $125,400 for Compliance Tester IIIRichmond, VA: $109,900 - $125,400 for Compliance Tester IIIRiverwoods, IL: $109,900 - $125,400 for Compliance Tester III/ppCandidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter./ppThis 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./ppCapital 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./ppThis role is expected to accept applications for a minimum of 5 business days.No agencies please. 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 Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries./ppIf 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 View phone number on click.appcast.io or via email at View email address on click.appcast.io. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations./ppFor technical support or questions about Capital Ones recruiting process, please send an email to View email address on click.appcast.io/ppCapital 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./ppCapital 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. (COPSSC)./p/div