Senior Compliance Tester - Regulatory Risk & Data Tests

Capital One; Riverwoods (IL); On-site; USD 110,000 - 125,000; Full time

Job summary

Capital One is seeking a Compliance Tester III in Riverwoods, IL to support a second line of defense by executing complex risk-based compliance reviews and independently validating business line adherence to laws and regulations.

You will collaborate with a diverse group of Compliance professionals, manage testing plans and data testing efforts, and ensure documentation retention guidelines are followed. Strong communication with non-technical stakeholders is essential.

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 of financial services consumer compliance monitoring, auditing, risk management, or compliance experience.

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 skills

Problem solving

Education

Bachelor's Degree

Tools

Google G-Suite

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Job description

Capital One is seeking a Compliance Tester III in Riverwoods, IL to support a second line of defense by executing complex risk-based compliance reviews and independently validating business line adherence to laws and regulations.

You will collaborate with a diverse group of Compliance professionals, manage testing plans and data testing efforts, and ensure documentation retention guidelines are followed. Strong communication with non-technical stakeholders is essential.