Compliance Tester III
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.
The Compliance Tester III will support lines of business by:
Testing adherence to business and regulatory requirements
Testing risk based compliance transactions
Control reviews focused on reviewing control activities mitigating risks and requirements
Responsibilities will include (but may not be limited to):
Execute targeted, complex transaction testing for regulatory and line of business compliance requirements in alignment with team and ICTT methodology 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, following documented test plans, and systematically documenting the 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 and partner 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
Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
Assist in communicating results to Compliance Officers and other stakeholders, as needed
Basic Qualifications:
High School Diploma, GED or equivalent certification
At least 3 years of experience in compliance testing, compliance monitoring, quality assurance, control review or audit
Preferred Qualifications:
Bachelor's degree
4+ 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
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean, VA: $120,800 - $137,900 for Compliance Tester IIIPlano, TX: $109,900 - $125,400 for Compliance Tester III
Richmond, VA: $109,900 - $125,400 for Compliance Tester III
Riverwoods, IL: $109,900 - $125,400 for Compliance Tester III
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
