Senior Compliance Tester II: Risk & Controls

Capital One; Plano (TX); Hybrid; USD 88,000 - 100,000; Full time

Job summary

Capital One is seeking a Senior Associate Compliance Tester to act as a second line of defense, executing complex risk-based compliance reviews and independently validating business line adherence to laws and regulations. You will partner with diverse Compliance professionals to monitor lines of business against Capital One's risk framework.

You will test adherence to regulatory requirements, review controls and data, and manage testing documentation while collaborating across teams.

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 preferred.
• 3+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience.

Responsibilities

• Demonstrate 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.
• Assist with the execution of assessment plans by validating and improving existing design and identifying opportunities in high risk areas.
• Establish and maintain relationships with Compliance Advisors and Business Areas.
• Support Compliance audit and exams as needed.
• Demonstrate strong problem-solving and written/verbal communication skills for non-technical stakeholders.
• Exercise professional skepticism and judgment.

Skills

Data analysis

Regulatory testing

Risk management

Auditing

Communication

Team collaboration

Education

High School Diploma or GED

Bachelor's Degree

Tools

Google G-Suite

Reveal

SQL

Python

Robotics Process Automation

Optical Character Recognition

Natural Language Processing

Job description

Capital One is seeking a Senior Associate Compliance Tester to act as a second line of defense, executing complex risk-based compliance reviews and independently validating business line adherence to laws and regulations. You will partner with diverse Compliance professionals to monitor lines of business against Capital One's risk framework.

You will test adherence to regulatory requirements, review controls and data, and manage testing documentation while collaborating across teams.