Compliance Tester III: Regulatory Risk & Controls

Military Friendly Company; Wilmington (DE); On-site; USD 110,000 - 125,000; Full time

Job summary

Capital One is seeking a Compliance Tester III to perform second line of defense activities, executing complex risk-based compliance reviews across business lines to independently validate adherence to laws and regulations.

You will collaborate with a diverse group of Compliance professionals to monitor lines of business against the risk management framework and support audits and exams as needed.

Qualifications

• High School Diploma, GED or equivalent certification.
• At least 3 years of experience in audit, compliance, risk management, control or transaction reviews.
• Bachelor's Degree preferred.
• 4+ years in financial services consumer compliance monitoring, auditing, risk management, or compliance experience.
• 3+ years of experience analyzing data from various sources and making recommendations based on data.
• Working knowledge of technology testing solutions (RPA, OCR, NLP).
• Basic understanding of data schemas or data structure and experience engaging with data analytics teams.

Responsibilities

• Demonstrate an understanding of business processes, control frameworks, and regulatory standards.
• Obtain and analyze data and support testing improvements with business partners.
• Manage schedules to ensure timely results and documentation.
• Assist with assessment plans and identify opportunities for high-risk review execution.
• Establish and maintain relationships with Compliance Advisors and Business Areas.
• Support compliance audits and exams as needed.
• Demonstrate strong problem-solving, written and verbal communication skills.
• Exercise professional skepticism and judgment.

Skills

Data analysis

Regulatory compliance

Risk assessment

Testing

Written communication

Analytical thinking

Problem solving

Skeptical judgment

Education

Bachelor's Degree

High School Diploma or equivalent

Tools

Google G-Suite

Reveal

SQL

Python

Robotics Process Automation

OCR

Natural Language Processing

Job description

Capital One is seeking a Compliance Tester III to perform second line of defense activities, executing complex risk-based compliance reviews across business lines to independently validate adherence to laws and regulations.

You will collaborate with a diverse group of Compliance professionals to monitor lines of business against the risk management framework and support audits and exams as needed.