Compliance Tester III

Capital One • Plano, TX

1d • $109,900 - $125,400

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 purpose of the testing is to independently validate business-line adherence to complaints-handling procedures and the requirements of the Enterprise Complaints Standard. The role involves developing a deep understanding of complaints requirements, conducting monitoring and testing, and drawing conclusions using critical thinking, judgment, and analysis. It requires cross-functional work with business partners, compliance advisors, and risk managers, as well as the ability to navigate complex and ambiguous test determinations independently. The successful candidate will bring an interest in risk and compliance, testing, project work, and quality assurance, and will be able to effectively challenge business partners. Attention to detail and strong verbal and written communication skills are important.

The position is based in Plano, Texas for the stated salary range. It is eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives. Capital One describes its benefits as comprehensive, competitive, and inclusive, supporting employees’ health, financial, and other well-being; eligibility varies by employment status and management level.

Requirements

• High school diploma, GED, or equivalent certification.
• At least 3 years of experience in compliance, testing, or quality assurance.
• Attention to detail and excellent verbal and written communication skills.
• Ability to work cross-functionally and independently navigate complex and ambiguous test determinations.

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 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 executed 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 advance varied initiatives.
• Assist in communicating results to Compliance Officers as needed.

Benefits

• Performance-based incentive compensation, which may include cash bonuses and/or long-term incentives.
• Comprehensive, competitive, and inclusive health, financial, and other benefits supporting total well-being; eligibility varies by employment status and management level.

What This Job Offers

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