Full-Time

Senior Associate

Compliance Tester II

Posted on 1/14/2025

Capital One

Capital One

10,001+ employees

Offers diverse financial products and services

Compensation Overview

$86k - $117.8kAnnually

+ Performance-based incentive compensation + Cash bonuses + Long-term incentives

Mid, Senior

No H1B Sponsorship

New Orleans, LA, USA + 4 more

More locations: Plano, TX, USA | McLean, VA, USA | Richmond, VA, USA | New York, NY, USA

Salary ranges for each location: McLean, VA: $94,600 - $107,900; New Orleans, LA: $86,000 - $98,200; New York, NY: $103,200 - $117,800; Plano, TX: $86,000 - $98,200; Richmond, VA: $86,000 - $98,200.

Category
Financial Consulting
Consulting
Required Skills
Data Analysis
Requirements
  • 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.
Responsibilities
  • 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.
  • Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed.
  • Assisting in communicating results to Compliance Officers, as needed.
Desired Qualifications
  • Bachelor's degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration
  • 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

Capital One offers a range of financial services, including credit cards, savings accounts, car loans, and business checking accounts, primarily in the United States. The company focuses on user-friendly banking solutions with no fees or minimums for checking accounts, making it easier for customers to manage their money. Capital One stands out from competitors through its commitment to financial inclusion and literacy, partnering with organizations to provide educational resources. The goal is to make banking more accessible and straightforward for everyone.

Company Size

10,001+

Company Stage

IPO

Headquarters

McLean, Virginia

Founded

2014

Simplify Jobs

Simplify's Take

What believers are saying

  • AI-driven solutions like Chat Concierge improve customer experience and operational efficiency.
  • The Lifestyle Collection increases customer engagement and loyalty in the travel sector.
  • Acquisition of Discover diversifies offerings and potentially expands market share.

What critics are saying

  • Class-action lawsuit challenges Capital One's affiliate marketing practices, risking financial repercussions.
  • AI-powered Chat Concierge may face data privacy and customer trust issues.
  • Acquisition of Discover may encounter regulatory scrutiny and integration challenges.

What makes Capital One unique

  • Capital One leverages AI to enhance customer service with its Chat Concierge.
  • The Lifestyle Collection targets a broader travel market with curated property benefits.
  • Capital One's acquisition of Discover aims to expand market share and financial offerings.

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Benefits

Medical, Dental, & Vision coverage

Onsite Health Centers

Prescription saving with network of local pharmacies

Stock Purchase Plan

Education Assistance

401(k)

Flexible Spending Accounts

Life and Disability insurance

Generous paid time off + corporate & floating holidays

Registered dieticians on site, cooking classes and free virtual fitness classes

Employee Assistance Program

Company News

MarketBeat
Feb 27th, 2025
Wealthstream Advisors Inc. Invests $287,000 in Capital One Financial Co. (NYSE:COF)

Wealthstream Advisors Inc. invests $287,000 in Capital One Financial Co. (NYSE:COF).

First Class Travel Now
Feb 26th, 2025
Capital One's new transfer bonus to JetBlue

But now, Capital One has launched a transfer bonus that can give you an extra 5,000 TrueBlue points upon your first transfer.

Business Wire
Feb 25th, 2025
Corpay® Upsizes Credit Facility by $750 million

Corpay, Inc. (NYSE: CPAY), a global S&P 500 corporate payments company today announced that it successfully closed on an amendment to its Term Loa

AwardWallet
Feb 22nd, 2025
Capital One Lifestyle Collection: Score Bonus Miles and Hotel Perks Without Elite Status

Later, Capital One introduced the Lifestyle Collection, a curated list of properties that offers select benefits to a broader range of travelers - though with fewer perks than the Premier Collection.

Auto Success
Feb 18th, 2025
Capital One Launches AI-Powered Assistant

Capital One has unveiled Chat Concierge, its first customer-facing agentic AI tool designed to streamline and enhance the car-buying process for both consumers and dealers.

INACTIVE