Compliance Tester III

Capital One; Plano (TX); On-site; USD 109,900 - 125,400; Full time

Benefits offered by this job

Comprehensive health benefits

Financial benefits

Inclusive work environment

Job summary

Capital One is seeking a Compliance Tester III to join the Compliance Complaints Team in Plano, TX. This role involves executing compliance testing, managing testing schedules, analyzing data, and establishing strong relationships with business areas and compliance advisors. Candidates should have at least 2 years of experience in financial services and compliance, along with strong critical thinking and communication skills. The anticipated salary range for this position in Plano, TX is $109,900 - $125,400.

Qualifications

• At least 2 years of experience working in financial services.
• At least 2 years of experience working in Compliance, Legal, Risk, Complaints or Escalations.
• 3+ years of financial services consumer compliance monitoring or quality assurance experience (Preferred).
• 3+ years complaint handling experience (Preferred).

Responsibilities

• Executes targeted reviews and testing for operating standards and consumer compliance requirements.
• Manages testing schedules to ensure timely completion of tasks and reporting.
• Analyzes data from multiple sources and systematically documents results.
• Reviews tests executed by peers for accuracy and adherence to procedures.
• Establishes strong relationships with Business Areas and Compliance Advisors.
• Communicates results to Accountable Executives and Compliance Officers, as needed.
• Identifies when escalation is necessary due to compliance/legal exposure.

Skills

Critical thinking

Attention to detail

Verbal communication

Written communication

Education

High School Diploma, GED or equivalent certification

Bachelors Degree (Preferred)

Job description

Compliance Tester III

The Compliance Complaints Team within the Compliance organization is seeking an experienced Principal Associate who will be responsible for executing compliance testing and reviews. The Principal Associate will be responsible for ensuring various levels of consumer complaints are resolved in adherence to the Enterprise Complaints Operating Standard. This role will have the opportunity to work with a variety of teams across Capital One. A successful candidate enjoys developing a deep understanding of requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with both business partners and compliance advisors and the ability to work autonomously. In addition, this role requires great attention to detail and excellent verbal and written communication skills.

Responsibilities

• Under the leadership of a team leader, executes targeted reviews and testing for both enterprise wide operating standards and consumer compliance requirements
• Manages testing schedules to ensure all tasks and reporting are completed within established timeframes
• Analyzes data from multiple sources and systematically documents the work and results
• Reviews tests executed by peers for accuracy and adherence to test procedures
• Establishes and maintains strong relationships with Business Areas and Compliance Advisors
• Assists in communicating results to Accountable Executives and Compliance Officers, as needed
• Has general understanding of applicable laws and regulations impacting Financial Services products and can identify when a case needs to be escalated due to potential compliance and/or legal exposure
• Leverages critical thinking and expertise to anticipate and identify issues

Basic Qualifications

• High School Diploma, GED or equivalent certification
• At least 2 years of experience working in financial services
• At least 2 years of experience working in Compliance, Legal, Risk, Complaints or Escalations

Preferred Qualifications

• Bachelors Degree
• 3+ years of financial services consumer compliance monitoring or quality assurance experience
• 3+ years complaint handling experience

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

McLean, VA: $120,800 - $137,900 for Compliance Tester III

Plano, 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

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 https://www.capitalonecareers.com/benefits. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

Equal Opportunity Employment

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug‑free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23‑A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901‑4920; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.