Senior Compliance Tester — Risk & Controls

Capital One National Association; Richmond, Northern (VA, KY); Hybrid; USD 88,000 - 101,000; Full time

Job summary

Capital One is seeking a Senior Associate Compliance Tester to join the compliance testing function. You will perform risk-based reviews, test adherence to regulatory requirements, and validate controls and data across lines of business.

You will collaborate with a diverse team of compliance professionals to monitor risk, document findings, and support audits and examinations with attention to data analytics and process improvement.

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 in a related field preferred.
• Proficiency with Google G-Suite and Reveal.
• 3+ years in financial services consumer compliance monitoring, auditing, risk management, or compliance.
• 2+ years analyzing data from various sources and making data-driven recommendations.
• Working knowledge of technology testing solutions (RPA, OCR, NLP).
• Understanding of data schemas and collaboration with data analytics teams.
• Basic knowledge of SQL and Python for testing design evaluation.

Responsibilities

• Demonstrate understanding of business processes, control frameworks, and related regulatory standards.
• Obtain and analyze data, supporting improvements to internal programs and testing with partners.
• Manage schedules to ensure timely results and proper documentation.
• Assist with assessment plans, improve design, and identify new high-risk testing opportunities.
• Establish and maintain relationships with Compliance Advisors and Business Areas.
• Support compliance audits and exams as needed.
• Demonstrate problem-solving and conceptual skills.
• Communicate clearly with both technical and non-technical stakeholders.
• Exercise professional skepticism and judgement.

Skills

Regulatory testing

Data analysis

Regulatory knowledge

Communication skills

Auditing

Education

Bachelor's Degree

High School Diploma or equivalent

Tools

Google G-Suite

Reveal

Robotics Process Automation

OCR

NLP

SQL

Python

Job description

Capital One is seeking a Senior Associate Compliance Tester to join the compliance testing function. You will perform risk-based reviews, test adherence to regulatory requirements, and validate controls and data across lines of business.

You will collaborate with a diverse team of compliance professionals to monitor risk, document findings, and support audits and examinations with attention to data analytics and process improvement.