Compliance Tester III

West Creek 3 (12073), United States of America, Richmond, Virginia

Compliance Tester III

Level: Principal Associate

The Corporate Compliance team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance transaction and control 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 regulatory requirements, conducting testing, and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. 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):

• Guided by team leadership, executing targeted, complex testing for line of business compliance requirements in alignment with team and program methodology.

• Suggesting changes to testing and performing high risk testing as needed

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

• Obtaining and analyzing test data from multiple sources, following documented test plans, and systematically documenting the work and results.

• Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sources

• Developing new ways to test large populations of data

• Demonstrating the ability to explore and quickly grasp new technologies to progress varied initiatives.

• Reviewing tests executed by peers for accuracy and adherence to test procedures.

• Systematically retaining documents that substantiate test results

• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas

• Assisting in communicating results to Compliance Officers, Compliance Advisors and Business Area Partners

Basic Qualifications:

• Bachelor’s degree or Military Experience

• At least 2 years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International/Global Trade, Privacy, or Enterprise Services 

Preferred Qualifications:

• 3+ years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International/Global Trade, Privacy, or Enterprise Services 

• Strong working knowledge of international laws and regulations as they relate to US companies operating in different countries, with an emphasis on international privacy laws and regulations

• Strong problem-solving and conceptual thinking skills

• Strong communication skills

• Compliance related certifications (Certified Regulatory Compliance Manager(CRCM), Certified Information Privacy Professional(CIPP))

• Working knowledge of Excel 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex (including pregnancy, childbirth or related medical conditions), race, color, age, national origin, religion, disability, genetic information, marital status, sexual orientation, gender identity, gender reassignment, citizenship, immigration status, protected veteran status, or any other basis prohibited under applicable federal, state or local law. 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.

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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. (COPSSC).