Senior Compliance Tester — Risk & Controls Analyst

Capital One; Richmond (VA); On-site; USD 88,000 - 100,000; Full time

Benefits offered by this job

Health benefits

Competitive compensation and benefits

Job summary

Capital One is seeking a Senior Associate Compliance Tester to help ensure regulatory programs across lines of business are tested and documented in line with risk management framework.

You will execute risk-based compliance reviews, analyze data from multiple sources, and collaborate with Compliance Advisors and business areas to improve controls. The role includes testing adherence to regulations, retaining testing docs, and supporting audits and exams.

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 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

Compliance monitoring

Audit experience

Risk management

Education

Bachelor's degree

Tools

Google G-Suite

Reveal

SQL

Python

Robotic Process Automation

OCR

NLP

Job description

Capital One is seeking a Senior Associate Compliance Tester to help ensure regulatory programs across lines of business are tested and documented in line with risk management framework.

You will execute risk-based compliance reviews, analyze data from multiple sources, and collaborate with Compliance Advisors and business areas to improve controls. The role includes testing adherence to regulations, retaining testing docs, and supporting audits and exams.