Compliance Tester II

Capital One•McLean, VA

1d•$87,700 - $110,100

About The Position

The Senior Associate Compliance Tester performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Senior Associate will be responsible for executing complex risk-based compliance reviews for the purpose of independently validating business line adherence to applicable laws and regulations. As a Compliance Senior Associate, you will execute compliance reviews based on the line of business, the regulatory risks that business faces, and internal control processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent monitoring for the lines of business against Capital One's risk management framework.

Requirements

High School Diploma, GED or equivalent certification
At least 2 years of experience in audit, compliance, risk management, control or transaction reviews

Nice To Haves

Bachelor's Degree
Proficiency with Google G-Suite and Reveal
3+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience
2+ years of experience analyzing data from various sources and making recommendations based on data
Working knowledge of technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)
Basic understanding of data schemas or data structure and experience engaging with data analytics teams to help drive innovative testing approaches
Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts

Responsibilities

Testing adherence to business regulatory requirements
Testing controls, data, and automation for adherence to regulatory requirements
Managing compliance to appropriate testing document retention guidelines
Demonstrate an understanding of business processes, control frameworks, and related regulatory and compliance standards
Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners
Manage schedules to ensure all results are completed within established timeframes and documented within systems of record
May assist with the execution of assessment plans by continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas
Establish and maintain strong relationships with Compliance Advisors and Business Areas
Support Compliance audit and exams as needed
Demonstrate strong problem-solving and conceptual skills
Demonstrate strong written and verbal communication skills, especially when relaying technical information and data to non-technical stakeholders
Exercise professional skepticism and judgement