Senior Compliance Tester: Regulatory Risk & Data Analytics

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

Job summary

Capital One is seeking a Principal Associate Compliance Tester to execute complex risk-based compliance reviews as part of the second line of defense. The role focuses on independent validation of regulatory adherence across business lines and collaboration with Compliance professionals to monitor risk against Capital One's framework.

You will test regulatory adherence, manage testing data and retention guidelines, and support audits while developing strong relationships with business areas and

Qualifications

• High School Diploma, GED or equivalent certification.
• At least 3 years of experience in audit, compliance, risk management, control or transaction reviews.

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

Data analysis

Regulatory testing

Auditing

Problem solving

Communication

Education

Bachelor's Degree

Tools

Google G-Suite

Reveal

SQL

Python

Robotics Process Automation

OCR

NLP

Job description

Capital One is seeking a Principal Associate Compliance Tester to execute complex risk-based compliance reviews as part of the second line of defense. The role focuses on independent validation of regulatory adherence across business lines and collaboration with Compliance professionals to monitor risk against Capital One's framework.

You will test regulatory adherence, manage testing data and retention guidelines, and support audits while developing strong relationships with business areas and