Compliance Tester III

Capital One • Plano, TX

1d

About The Position

The Corporate Compliance team is seeking an experienced Principal Associate to execute risk-based compliance transaction testing under the leadership of a team leader. The role independently validates business line adherence to complaints handling procedures and the requirements of the Enterprise Complaints Standard. The successful candidate will develop a deep understanding of complaints requirements, conduct monitoring and testing, and draw conclusions using critical thinking, judgment, and analysis.

The position involves working cross-functionally with business partners, compliance advisors, and risk managers, while independently navigating complex and ambiguous test determinations. The ideal candidate is passionate about risk and compliance, testing, project work, and quality assurance, and can effectively challenge business areas. Strong attention to detail and excellent verbal and written communication skills are required.

Requirements

• High school diploma, GED, or equivalent certification.
• At least 3 years of experience in compliance, testing, or quality assurance.
• Great attention to detail.
• Excellent verbal and written communication skills.
• Ability to work cross-functionally with business partners, compliance advisors, and risk managers.
• Ability to independently navigate complex and ambiguous test determinations.
• Ability to analyze data and draw conclusions using critical thinking and judgment.

Nice To Haves

• Bachelor's degree.
• 4 or more years of financial services consumer compliance monitoring experience.
• 4 or more years of consumer compliance auditing experience.
• 4 or more years of quality assurance experience.
• Experience creating presentations.
• Working knowledge of basic statistics.

Responsibilities

• Execute targeted transaction testing for consumer compliance requirements under the leadership of a team leader.
• Manage testing schedules to ensure all tasks and reporting are completed within established timeframes.
• Analyze data from multiple sources and systematically document work and results.
• Develop new ways to test large populations of data.
• Review transaction tests completed by peers for accuracy and adherence to test procedures.
• Establish and maintain strong relationships with Compliance Advisors and Business Areas as needed.
• Explore and quickly grasp new technologies to progress varied initiatives.
• Assist in communicating results to Compliance Officers as needed.

Benefits

• Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being.
• Eligibility for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: High school or GED