Compliance & Risk Testing Analyst II

Capital One; Jericho (NY); On-site; USD 105,000 - 120,000; Full time

Job summary

Capital One is seeking a Compliance Tester II to perform second line of defense assurance, executing complex risk-based reviews and validating adherence to laws and regulations. The role collaborates with Compliance professionals to monitor business lines under the risk framework and ensure timely, well-documented results.

The Senior Associate will test regulatory adherence, manage testing data and retention, and support audits as needed, building relationships with business areas and driving

Qualifications

• High School Diploma, GED or equivalent certification.
• At least 2 years of experience in audit, compliance, risk management, control or transaction reviews.
• Bachelor's Degree
• Proficiency with Google G-Suite and Reveal
• 3+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience.
• 2+ years of experience analyzing data from various sources and making recommendations based on data.
• Working knowledge of technology testing solutions (Robotics Processing Automation, Optical Character Recognition, Natural Language Processing)
• Basic understanding of data schemas or data structure and experience engaging with data analytics teams to help drive innovative testing approaches
• Basic knowledge of data and software scripts using SQL and Python to perform effective challenge on the design and operations of the scripts

Responsibilities

• Demonstrate an understanding of business processes and related regulatory and compliance standards
• Obtain and analyze data, supporting efforts to improve internal program elements and testing innovation with business partners
• Manage schedules to ensure all results are completed within established timeframes and documented within systems of record
• May assist with the execution of assessment plans by continually validating and improving existing design while also identifying new opportunities to execute reviews in high risk areas
• Establish and maintain strong relationships with Compliance Advisors and Business Areas
• Support Compliance audit and exams as needed
• Demonstrate strong problem-solving and conceptual skills
• Demonstrate strong written and verbal communication skills, especially when relaying technical information and data to non-technical stakeholders
• Exercise professional skepticism and judgement

Skills

Google G-Suite

Reveal

Data analysis

SQL

Python

Education

Bachelor's Degree

High School Diploma or GED

Tools

Robotics Process Automation

Optical Character Recognition

Natural Language Processing

Job description

Capital One is seeking a Compliance Tester II to perform second line of defense assurance, executing complex risk-based reviews and validating adherence to laws and regulations. The role collaborates with Compliance professionals to monitor business lines under the risk framework and ensure timely, well-documented results.

The Senior Associate will test regulatory adherence, manage testing data and retention, and support audits as needed, building relationships with business areas and driving