Compliance Tester III

Capital One • Plano, TX

3d • Onsite

About The Position

The Compliance Tester III performs a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. This role is responsible for executing complex risk-based compliance reviews for the purpose of independently validating business line adherence to applicable laws and regulations. The Compliance Tester III will execute compliance reviews based on the line of business and the regulatory risks that business faces. This role 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 3 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
• 4+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience
• 3+ 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

• 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
• Testing adherence to business regulatory requirements
• Testing data and automation for adherence to regulatory requirements
• Managing compliance to appropriate testing document retention guidelines

Benefits

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

What This Job Offers

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