Compliance Tester III

Capital One • Richmond, VA

2d

About The Position

The Corporate Compliance Testing team is seeking an experienced Principal Associate to execute risk-based compliance transaction testing under the leadership of a team Manager. The role independently validates business-line adherence to applicable laws, regulations, and guidance. The successful candidate develops a deep understanding of requirements and conducts monitoring and testing, drawing conclusions through critical thinking, judgment, and analysis. The position involves working across business partners and compliance advisors, working autonomously, and applying strong attention to detail and verbal and written communication skills.

The Compliance Tester III performs a key second line of defense role, helping ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The role supports lines of business through testing adherence to business and regulatory requirements, testing risk-based compliance transactions, and conducting control reviews focused on activities that mitigate risks and meet requirements.

Requirements

• High school diploma, GED, or equivalent certification.
• At least 3 years of experience in compliance testing, compliance monitoring, quality assurance, control review, or audit.
• Strong attention to detail and excellent verbal and written communication skills.
• Ability to work cross-functionally with business partners and compliance advisors, and autonomously.
• Ability to develop a deep understanding of requirements and draw conclusions using critical thinking, judgment, and analysis.

Nice To Haves

• Bachelor's degree.
• 4 or more years of experience in financial services consumer compliance testing, monitoring, or auditing.
• Experience creating presentations.
• Experience with Excel, SQL, Teradata, or Redshift.
• Scripting experience in Python, Perl, JavaScript, or Shell.

Responsibilities

• Execute targeted, complex transaction testing for regulatory and line-of-business compliance requirements in alignment with team and ICTT methodologies and procedures.
• Execute control reviews under the CCR methodology.
• Suggest changes to testing or perform high-risk testing as needed.
• Manage testing schedules to ensure tasks and reporting are completed within established timeframes.
• Obtain and analyze test data from multiple sources, follow documented test plans, 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.
• Support and initiate efforts to improve data sourcing, partnering with business and IT areas to develop improved data sources.
• Systematically retain documents that substantiate test results.
• 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 and other stakeholders 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