Compliance Tester III

Capital One; Richmond (VA); On-site; USD 110,000 - 125,000; Full time

Job summary

Capital One's Compliance Tester III position in the United States (Richmond, VA area) focuses on executing risk-based compliance control testing to independently validate business line adherence to laws and guidance.

The role requires strong attention to detail and cross-functional collaboration with Compliance Advisors, Risk Offices, and various business areas, with an emphasis on privacy risk testing across lines of business.

Qualifications

• Bachelor's degree or Military Experience.
• At least 3 years experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services.
• 4+ years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services.

Responsibilities

• Guided by team leadership, executing targeted, complex testing for line of business compliance requirements to effectively challenge business controls in accordance with team, program, and enterprise methodologies.
• Drives innovation by identifying process enhancements and suggesting changes to testing.
• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes.
• Obtaining, analyzing, and validating test data from multiple sources, executing end-to-end testing following documented test plans, and systematically documenting the work and results.
• Demonstrating the ability to explore and quickly grasp new technologies to progress varied initiatives.
• Identifying and engaging with proper points of contact throughout the testing process.
• Reviewing tests executed by peers for accuracy and adherence to test procedures.
• Establishing and maintaining strong relationships with Compliance Advisors, the Risk Offices, and Business Areas.
• Autonomously owning and leading conversations with the business, advisory, and Business Risk Office.
• Drafting the final results reports and presenting to Compliance Officers

Skills

Problem solving

Communication skills

Regulatory understanding

Education

Bachelor's degree or Military Experience

CRCM

CIPP

Tools

Excel

Google Docs

Google Sheets

Google Slides

Job description

Compliance Tester III

The Corporate Compliance team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance control testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable laws, regulations, and guidance. A successful candidate excels at developing a deep understanding of regulatory requirements, conducting end-to-end testing, and drawing conclusions based on critical thinking, judgment, and analysis. The role requires the ability to work cross-functionally with business partners and compliance advisors, the ability to work autonomously, a keen attention to detail, and excellent verbal and written communication skills. The role involves testing Privacy risk across all lines of businesses and testing Enterprise Services.

Responsibilities

• Guided by team leadership, executing targeted, complex testing for line of business compliance requirements to effectively challenge business controls in accordance with team, program, and enterprise methodologies
• Drives innovation by identifying process enhancements and suggesting changes to testing
• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes
• Obtaining, analyzing, and validating test data from multiple sources, executing end-to-end testing following documented test plans, and systematically documenting the work and results
• Demonstrating the ability to explore and quickly grasp new technologies to progress varied initiatives
• Identifying and engaging with proper points of contact throughout the testing process
• Reviewing tests executed by peers for accuracy and adherence to test procedures
• Establishing and maintaining strong relationships with Compliance Advisors, the Risk Offices, and Business Areas
• Autonomously owning and leading conversations with the business, advisory, and Business Risk Office
• Drafting the final results reports and presenting to Compliance Officers

Basic Qualifications

• Bachelor's degree or Military Experience
• At least 3 years experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services

Preferred Qualifications

• 4+ years of experience in Compliance Testing, Risk Management, Compliance Monitoring, Quality Assurance, Audit, International or Global Trade, Privacy, or Enterprise Services
• Strong working knowledge of international laws and regulations as they relate to US companies operating in different countries, with an emphasis on international privacy laws and regulations
• Excellent problem-solving, conceptual thinking and communication skills
• Compliance related certifications (Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP))
• Working knowledge of Excel and Google Applications (Docs, Sheets, Slides, etc)

Location & Salary

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

Richmond, VA: $109,900 - $125,400 for Compliance Tester III

Wilmington, DE: $109,900 - $125,400 for Compliance Tester III

Employment & Immigration

At this time, Capital One will not sponsor a new applicant for employment authorization, or offer any immigration related support for this position (e.g. H1B, F-1 OPT, F-1 STEM OPT, F-1 CPT, J-1, TN, E-3, and O-1, or any other forms of work authorization that require immigration support from an employer).

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.

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.

Equal Opportunity

Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws.

Other statements

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.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at [e-mail].

For technical support or questions about Capital One's recruiting process, please send an email to [e-mail].

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

At Capital One, we’re building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit.