Compliance Tester II Job at Capital One (Plano)

Job Description

The Compliance Tester II (Senior Associate) 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 will be responsible for executing defined, moderately complex, risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable consumer laws and regulations including, but not limited to: Regulations CC, D, DD, E, and FCRA. As a Compliance Senior Associate, you will execute Compliance testing based on the line of business, the regulatory risks that business faces, and internal control processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business against Capital One’s risk management framework.

Job Responsibility

Guided by team leadership, execute targeted, moderately complex transaction testing for line of business compliance requirements
Manage assigned testing timelines to ensure all tasks and reporting are completed within established timeframes
Obtain and analyze test data from multiple sources, following documented test plans, testing protocols, and leveraging job aids as needed
Help drive innovative ways to approach testing
Demonstrate an understanding of testing methodology, business processes, control frameworks, and related regulatory and compliance standards
Establish and maintain strong relationships with Compliance Advisors, the Risk Office and Business Areas
Ensure engagement with proper points of contact throughout the testing process
Systematically retain documents that substantiate test results with a high level of accuracy
Review deliverables executed by peers for accuracy and adherence to procedures
Submit test results in the system of record
Communicate results to Advisors, Business Areas, and Compliance Officers, as needed
Ability to work cooperatively and effectively with supporting team members to meet departmental goals
Maintain strong time management, organizational and prioritization skills
ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail

Requirements

High School Diploma, GED or equivalent certification
At least 4 years of experience working in the financial services industry
At least 2 years of experience in audit, compliance, risk management, control or transaction reviews
At least 2 years of experience with Microsoft Office or Google Suite

Nice to have

Bachelor’s Degree or Military experience
3+ years of financial services monitoring, auditing, risk management or compliance experience
Certified Regulatory Compliance Manager (CRCM) accreditation
Experience analyzing test scripts using SQL/Python to test full populations for key attributes
Experience engaging with data analytics to help drive innovative testing approaches
Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence
Basic understanding of data schemas or cloud data structure to help drive innovative testing approaches

What we offer

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

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Compliance Tester II

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