Compliance Tester II

Capital One•McLean, VA

8d•$87,700 - $110,100•Onsite

About The Position

The Corporate Compliance Testing team is seeking an experienced Senior Associate who will be responsible for executing risk-based compliance transaction testing 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. The Compliance Tester II performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The Compliance Tester II will support lines of business by: Testing adherence to business and regulatory requirements Testing risk based compliance transactions Control reviews focused on reviewing control activities mitigating risks and requirements

Requirements

High School Diploma, GED or equivalent certification
At least 2 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit

Nice To Haves

Bachelor's degree
3+ years of financial services consumer compliance monitoring experience
4+ years of consumer compliance auditing experience
Experience creating presentations
Experience with Excel, SQL, Teradata or Redshift
Scripting experience in Python, Perl, JavaScript or Shell

Responsibilities

Execute targeted, complex transaction testing for regulatory and line of business compliance requirements in alignment with team and ICTT methodology and procedures
Execute control reviews under the CCR methodology
Suggest changes to testing or perform high risk testing as needed
Manage testing schedules to ensure all tasks and reporting are completed within established timeframes
Obtain and analyze test data from multiple sources, following documented test plans, and systematically documenting the work and results
Develop new ways to test large populations of data
Review transaction tests executed by peers for accuracy and adherence to test procedures
Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
Systematically retain documents that substantiate test results
Establish and maintain strong relationships with Compliance Advisors and Business Areas as needed
Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
Assist in communicating results to Compliance Officers and other stakeholders, as needed