Compliance Tester III
About The Position
The Compliance Complaints Team within the Compliance organization is seeking an experienced Principal Associate who will be responsible for executing compliance testing and reviews. The Principal Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. This role will have the opportunity to work with a variety of teams across Capital One. 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.
Requirements
- High School Diploma, GED or equivalent certification
- At least 2 years of experience working in financial services
- At least 2 years of experience working in Compliance, Legal, Risk, Complaints or Escalations
Nice To Haves
- Bachelors Degree
- 3+ years of financial services consumer compliance monitoring or quality assurance experience
- 3+ years complaint handling experience
Responsibilities
- Under the leadership of a team leader, executes targeted reviews and testing for both enterprise wide operating standards and consumer compliance requirements
- Manages testing schedules to ensure all tasks and reporting are completed within established timeframes
- Analyzes data from multiple sources and systematically documents the work and results
- Reviews tests executed by peers for accuracy and adherence to test procedures
- Establishes and maintains strong relationships with Business Areas and Compliance Advisors
- Assists in communicating results to Accountable Executives and Compliance Officers, as needed
- Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure
- Leverages critical thinking and expertise to anticipate and identify issues
Benefits
- health insurance
- financial benefits
- other benefits that support your total well-being
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
High school or GED
