Senior Compliance Tester – Risk & Controls

Capital One; McLean (VA); Hybrid; USD 97,000 - 110,000; Full time

Job summary

Capital One is seeking a Compliance Tester II to execute risk-based compliance reviews across business lines, ensuring adherence to laws and regulations. You will analyze data, test controls, and support documentation standards within the Capital One risk framework.

The role emphasizes collaboration with diverse Compliance professionals, data-driven testing approaches, and the ability to communicate technical findings to non-technical stakeholders.

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)
• Proficiency with Google G-Suite and Reveal
• 3+ years of financial services consumer compliance monitoring, auditing, risk management, or compliance experience
• 2+ years of experience analyzing data from various sources and making recommendations based on data
• Working knowledge of technology testing solutions (Robotics Processing 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

Data analysis

Communication skills

Problem solving

Auditing/compliance awareness

Education

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 Compliance Tester II to execute risk-based compliance reviews across business lines, ensuring adherence to laws and regulations. You will analyze data, test controls, and support documentation standards within the Capital One risk framework.

The role emphasizes collaboration with diverse Compliance professionals, data-driven testing approaches, and the ability to communicate technical findings to non-technical stakeholders.