Senior Compliance Tester & Data Risk Specialist

Capital One; Jericho (NY); On-site; USD 132,000 - 151,000; Full time

Benefits offered by this job

Incentives may include cash bonuses

Long-term incentives (LTI)

Job summary

Capital One is seeking a Compliance Tester III to perform key second line of defense activities, ensuring adherence to laws and internal controls across business lines. The role involves executing risk-based reviews, collaborating with Compliance professionals, and supporting audits and exams.

Responsibilities include testing regulatory adherence, analyzing data, and maintaining documentation while working with various business areas to improve testing approaches and risk management outcomes.

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.
• Proficiency with Google G-Suite and Reveal.
• 4+ years of 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 (Robotics Process 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, control frameworks, 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

Regulatory testing

Data analysis

Communication

Problem-solving

Time management

Education

High School Diploma or GED

Bachelor's Degree

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 key second line of defense activities, ensuring adherence to laws and internal controls across business lines. The role involves executing risk-based reviews, collaborating with Compliance professionals, and supporting audits and exams.

Responsibilities include testing regulatory adherence, analyzing data, and maintaining documentation while working with various business areas to improve testing approaches and risk management outcomes.