Compliance Tester III

Capital One • Richmond, VA

1d • Onsite

About The Position

The Corporate Compliance team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance 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 excels at developing a deep understanding of regulatory requirements, conducting end-to-end testing, and drawing conclusions based on critical thinking, judgment, and analysis. The role requires the ability to work cross-functionally with business partners and compliance advisors, the ability to work autonomously, a keen attention to detail, and excellent verbal and written communication skills. The role involves testing Privacy risk across all lines of businesses and testing Enterprise Services.

Requirements

• Bachelor's degree or Military Experience
• At least 3 years experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services

Nice To Haves

• 4+ years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or 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
• Excellent problem-solving, conceptual thinking and communication skills
• Compliance related certifications (Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP))
• Working knowledge of Excel and Google Applications (Docs, Sheets, Slides, etc)

Responsibilities

• Guided by team leadership, executing targeted, complex testing for line of business compliance requirements to effectively challenge business controls in accordance with team, program, and enterprise methodologies
• Drives innovation by identifying process enhancements and suggesting changes to testing
• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes
• Obtaining, analyzing, and validating test data from multiple sources, executing end-to-end testing following documented test plans, and systematically documenting the work and results
• Demonstrating the ability to explore and quickly grasp new technologies to progress varied initiatives
• Identifying and engaging with proper points of contact throughout the testing process
• Reviewing tests executed by peers for accuracy and adherence to test procedures
• Establishing and maintaining strong relationships with Compliance Advisors, the Risk Offices, and Business Areas
• Autonomously owning and leading conversations with the business, advisory, and Business Risk Office
• Drafting the final results reports and presenting to Compliance Officers

Benefits

• performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
• comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being

What This Job Offers

• Job Type: Full-time
• Career Level: Principal