AML Compliance Tester: Transaction Risk & Controls

Capital One; Richmond (VA); On-site; USD 110,000 - 151,000; Full time

Job summary

Capital One is seeking a Principal Corporate Compliance Tester to advance the second line of defense across the enterprise. The AML Tester will execute risk-based compliance transaction testing under a team leader to validate adherence to AML laws including the Bank Secrecy Act, USA PATRIOT ACT, and related regulations.

Responsibilities include developing test plans, analyzing data, documenting results, supporting audits, and partnering with Compliance Advisors and IT. On-site at multiple U.S.

Qualifications

• High School Diploma, GED or equivalent certification.
• 2+ years in Compliance Testing, Compliance Monitoring, Quality Assurance, Audit Experience, AML investigation, or Fraud Investigation experience.

Responsibilities

• Under leadership, perform targeted, complex transaction testing for line of business compliance requirements.
• Suggest changes to testing and perform high risk testing as needed.
• Develop test plans and continually improve test design.
• Manage testing schedules to meet timelines.
• Obtain and analyze test data from multiple sources and document results per test plans.
• Support data sourcing improvements with business and IT to develop better data sources.
• Review peer transaction tests for accuracy and adherence to procedures.
• Submit test results in FUSE and retain supporting documents.
• Establish and maintain strong relationships with Compliance Advisors and Business Areas.
• Support ICTT and Compliance audits and exams as needed.

Skills

Compliance testing

Compliance monitoring

Quality assurance

Audit experience

AML investigation

Fraud investigation

US & Canada AML laws

SAR/CTR/STR filings

Strong communication

Professional certifications (ACAMS/CFE

Education

Bachelor's degree

Job description

Capital One is seeking a Principal Corporate Compliance Tester to advance the second line of defense across the enterprise. The AML Tester will execute risk-based compliance transaction testing under a team leader to validate adherence to AML laws including the Bank Secrecy Act, USA PATRIOT ACT, and related regulations.

Responsibilities include developing test plans, analyzing data, documenting results, supporting audits, and partnering with Compliance Advisors and IT. On-site at multiple U.S.