Compliance Tester III

Capital One • McLean, VA

1d • $109,900 - $137,900

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. It requires developing a deep understanding of requirements, conducting monitoring and testing, and drawing conclusions through critical thinking, judgment, and analysis. The position works cross-functionally with business partners and compliance advisors and requires autonomy, attention to detail, and excellent 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 by testing adherence to business and regulatory requirements, testing risk-based compliance transactions, and reviewing controls focused on mitigating risks and meeting 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.

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 all 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 that support total well-being.
• Eligible 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